Broker-Dealer's Duty of Best Execution | Practical Law

Broker-Dealer's Duty of Best Execution | Practical Law

A Practice Note discussing the duty of a broker-dealer to obtain best execution of a customer's order for the purchase or sale of a security under the common law duty of agency to act in the customer's best interest when acting as agent in a customer trade, as principal in a trade with a customer, and under FINRA Rule 5310.

Broker-Dealer's Duty of Best Execution

Practical Law Practice Note w-001-0113 (Approx. 13 pages)

Broker-Dealer's Duty of Best Execution

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note discussing the duty of a broker-dealer to obtain best execution of a customer's order for the purchase or sale of a security under the common law duty of agency to act in the customer's best interest when acting as agent in a customer trade, as principal in a trade with a customer, and under FINRA Rule 5310.