View Rule

View EO 12866 Meetings

Printer-Friendly Version     Download RIN Data in XML

---

SEC

RIN: 3235-AK94

Publication ID: Spring 2011

Title: ●Amendments to Rule 31 Under the Exchange Act
Abstract: The Division is considering recommending that the Commission propose a rule that would require self-regulatory organizations to obtain an audit or independent review (or, as appropriate, additional assurances) that the covered sales amounts reported to the Commission pursuant to Rule 31 are accurate. The Division is also considering addressing remedial measures to specifically provide for correction of inaccurate form R31 filings and procedures for handling requests for refunds of alleged overpayments.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: First time 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  12/00/2011

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