Best Execution for Broker Dealers

NASD 2320 (a) specifies that any transaction between a customer and a broker-dealer must be executed with “reasonable diligence” on the part of the broker to keep the investor’s best interest in mind during all transactions.  Regulations specify that a broker must present investors with the best price, opportunity, or execution of a deal possible and bring the transaction to the floor within a specified time period in order to maintain the integrity of the relationship.

ACI enables our clients to comply with best execution practices and allows them to maintain optimal business relations and a reputation for best practice in investments by:

• Developing a best execution strategy to meet transaction timeliness regulations

• Setting up a “reasonable diligence” tracking program to prove the mindful assessment of best execution factors such as assessment of the character of the market, markets checked, and terms and conditions of the deal before initiating a transaction.

To inquire into ACI's Best Execution Services for Broker Dealers, contact us at info@acisecure.com.