The U.S. Securities and Exchange Commission (SEC) adopted new rules in an effort to improve public disclosure of order execution and routing practices. As a result, broker/dealers must, on a quarterly basis, disclose the identity of the market centers to which they route a significant percentage of their orders and the nature of their relationships with such market centers. Finally, brokers must respond to the requests of customers interested in learning where their individual orders were routed for execution during the previous six months.

 

To access Cadaret, Grant’s most recent quarterly report, please visit www.orderroutingdisclosure.com and enter CADARET GRANT CO INC as the name of the broker/dealer. Then, choose the section you wish to review. Please note, the firm name must be entered exactly as it is shown above in order to review the report. If you have any difficulty accessing the Web site, please contact the Cadaret, Grant Compliance Department at 800.288.8601.