Regulatory disclosures

As a global investment firm, Russell Investments is subject to regulation in the markets in which we conduct business. New and amended regulations to which we are subject may impact our business and the way we interact with our customers. As significant regulatory developments occur, we will strive to provide the information you need to prepare for those changes.

Recent regulatory developments

Update as of December 31, 2016

SEC Rule 606 reports

The SEC Rule 606 requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their routing practices. View the reports

Dodd-Frank risk disclosures

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), prior to entering into a swap transaction, a Swap Dealer must provide several disclosures to a counter-party who is not a Swap Dealer, Major Swap Participant, Security Based Swap Dealer or Major Security Based Swap Participant. Under the requirements of Rule 23.431 of the Commodity Futures Trading Commission ("CFTC") under the Business Conduct Standards for Swap Dealers and Major Swap Participants, 77 Fed. Reg. 9734, a Swap Dealer must disclose the material risks of the particular swap, which may include market, credit, liquidity, foreign currency, legal, operational, and any other applicable risks. In addition, a Swap Dealer must disclose the material characteristics of the particular swap, including the Material Economic Terms ("METs") of the swap, the terms relating to the operation of the swap and the rights and obligations of the parties during the terms of the swap. Access the risk disclosures

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