# 2026-11802: NYSE Arca Rolls Out Familiar Best-Execution Rule 2026-11802, Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution), is a Federal Register notice from Securities and Exchange Commission published 2026-06-12, effective 2026-05-29; PRIA reads it as touching household money (as of 2026-06-19). - Canonical: https://policyrisk.com/federal-register/2026-11802 - As of: 2026-06-19 - Plain-text twin of the page above; the HTML and this file carry the same facts. ## Facts - Document number: 2026-11802 - Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution) - Type: Notice - Agencies: Securities and Exchange Commission - Citation: 91 FR 35732 - Published: 2026-06-12 - Effective: 2026-05-29 - Comments close: not stated - Significant: no - Touches household money: yes - Regulation identifier numbers: none - Last updated: 2026-06-19 ## In one line NYSE Arca Rolls Out Familiar Best-Execution Rule ## Summary NYSE Arca just rolled out a new rule called 11.5310 to make sure traders and firms always get the best possible deal when handling your stock and options orders. This change affects anyone with trading permits on NYSE Arca and kicks in right away, aiming to protect customers and boost fair trading. No extra costs are mentioned, but it’s a big win for smarter, faster trades starting now! ## Effects PRIA read - New Best-Execution Rule Adopted: benefit, medium. On May 29, 2026 NYSE Arca adopted new Rule 11.5310 requiring ETP Holders, OTP Holders, OTP Firms, and Associated Persons to use “reasonable diligence” to find the best market and obtain the most favorable price for customer stock or options transactions. The rule lists five specific factors to cons… - Customer Routing Instructions Limited Duty: mixed, medium. Supplementary Material .03 says that if a customer gives an unsolicited instruction to route an order to a specific market, the firm does not have to seek better execution beyond that instruction, but it must process the order promptly and follow the order’s terms. If the customer directs the order… - Limits on Using Broker's Broker: benefit, low. Proposed Rule 11.5310(b) places the burden on the retail firm to show acceptable circumstances for using a broker’s broker or other third party when the firm cannot execute directly, and gives examples of acceptable situations like crossed orders or when revealing the retail firm’s identity would c… - No Staffing Excuse For Poor Execution: benefit, low. Proposed Rule 11.5310(c) states that failing to maintain or adequately staff an order-execution department is not a justification for executing away from the best available market; channeling orders for reciprocal service does not relieve obligations unless the third party gives up the retail firm’… - Receiving Firms Held Accountable: benefit, low. Proposed Rule 11.5310(d) provides that a firm through which a retail order is routed will be deemed to have violated the rule if it knowingly participates in an arrangement where the initiating firm failed to meet its best execution obligations. This makes downstream firms accountable for knowingly… - Applies To Agent and Principal Trades: benefit, low. Proposed Rule 11.5310(e) states the best execution obligations apply both when a firm acts as agent for a customer and when it executes retail transactions as principal with contemporaneous offset. Firms must meet the rule in either role to protect customer transaction outcomes. ## Related documents - [2026-20466](https://policyrisk.com/federal-register/2026-20466): Adviser and Regulated Fund Custody Rules; Crypto Custody Rules, 2026-10-06 - [2026-19260](https://policyrisk.com/federal-register/2026-19260): Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4, 2026-09-21 - [2026-18424](https://policyrisk.com/federal-register/2026-18424): Political Contributions by Certain Investment Advisers, 2026-09-10 - [2026-18190](https://policyrisk.com/federal-register/2026-18190): Transfer Agent Rules, 2026-09-04 - [2026-17183](https://policyrisk.com/federal-register/2026-17183): Regulation Crypto Assets, 2026-08-21 - [2026-12163](https://policyrisk.com/federal-register/2026-12163): The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS, 2026-06-17 ## Sources - [2026-11802 on federalregister.gov](https://www.federalregister.gov/documents/2026/06/12/2026-11802/self-regulatory-organizations-nyse-arca-inc-notice-of-filing-and-immediate-effectiveness-of-proposed) - [2026-11802 as published (PDF)](https://www.govinfo.gov/content/pkg/FR-2026-06-12/pdf/2026-11802.pdf) ## Related - [Previous: 2026-11798, Hazardous Materials: Notice of Actions on Special Permits](https://policyrisk.com/federal-register/2026-11798) - [Next: 2026-11803, Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immedi…](https://policyrisk.com/federal-register/2026-11803) - [All Federal Register documents](https://policyrisk.com/federal-register) Source: PRIA, https://policyrisk.com/federal-register/2026-11802 (as of 2026-06-19).