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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AK46 Publication ID: Spring 2013 
Title: Regulation of Non-Public Trading Interest 
Abstract: The Commission proposed to amend the definition of "bid" or "offer" in Rule 600(b)(8) of Regulation NMS to lower the trading threshold in Rule 301(b) of Regulation ATS and to amend the joint-SRO plans to require real-time disclosure to address transparency and fairness concerns related to automated trading systems that do not display quotes in the public quote stream. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 242.301(b)(3); 17 CFR 242.600(b)(8) 
Legal Authority: 15 USC 78b; 15 USC 78c(b); 15 USC 78e; 15 USC 78f; 15 USC 78k; 15 USC 78k-1; 15 USC 78o; 15 USC 78o-3; 15 USC 78q(a) and (b); 15 USC 78s; 15 USC 78w(a); 15 USC 78mm 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/23/2009  74 FR 61208 
NPRM Comment Period End  02/22/2010   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2009/34-60997.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Arisa Tinaves
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5676
Email: tinavesa@sec.gov

 
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