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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
Timetable:
Action Date FR Cite
NPRM  07/00/2013   
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:202 942-0158
Fax:202 551-5602
Email: gawm@sec.gov

 
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