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| SEC | RIN: 3235-AH69 | Publication ID: Fall 1999 |
| Title: Automated Submission of Trading Data by Certain Exchange Members, Brokers, and Dealers Under the Securities Exchange Act of 1934 | |
| Abstract: The Securities and Exchange Commission is proposing Rule 17a-25 which would set forth the obligations of registered broker-dealers to submit securities trading data in an automated format when requested by the Commission staff for enforcement and other regulatory purposes. The proposed rule would improve the Commission's capacity to use electronic submissions of trading data to analyze transactions by entities that trade through multiple accounts maintained at multiple broker-dealers. | |
| 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 240.17a-25 | |
| Legal Authority: 15 USC 78a 15 USC 78c 15 USC 78j 15 USC 78mm 15 USC 78w 15 USC 78q | |
|
Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
| Included in the Regulatory Plan: No | |
|
Agency Contact: Anitra Cassas Office of Market Supervision, Division of Market Regulation Securities and Exchange Commission Phone:202 942-0089 Fax:202 942-9695 Email: cassasa@sec.gov |
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