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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AK94 | Publication ID: Spring 2013 |
| Title: Exchange Audits of Section 31 Fee Proposals | |
| Abstract: The Division is considering recommending that the Commission propose a rule that would require self-regulatory organizations to establish section 31 compliance plans and obtain an internal audit of the compliance plan and the entity's execution of the compliance plan. The Division is also considering proposing certain additional amendments to Rule 31. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: 17 CFR. 240.31 | |
| Legal Authority: 15 USC 78f 15 USC 78o-3 15 USC 89q-1 15 USC 78s 15 USC 78w(q) | |
|
Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
|
Agency Contact: Michael Gaw Division of Trading and Markets Securities and Exchange Commission Division of Market Regulation, 100 F Street NE, Washington, DC 20549 Phone:202 551-5602 Email: gawm@sec.gov |
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