3235-AM45 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendments to Exchange Act Rule 3b-16 re Definition of "Exchange"; Regulation ATS and Regulation SCI for ATSs That Trade U.S. Government Securities, NMS Stocks and Other Securities

The Division is considering recommending that the Commission adopt proposed amendments to Exchange Act Rule 3b-16 to include systems that offer the use of non-firm trading interest and communication protocols to bring together buyers and sellers of securities.

The Division is considering recommending that the Commission adopt proposed amendments to Regulation ATS and Regulation SCI for ATSs that trade U.S. Government Securities, NMS stock, and other types of securities and to require the electronic filing of a modernized version of Form ATS and Form ATS-R. 

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 300 et seq. 15 U.S.C. 77g 15 U.S.C. 78mm 15. U.S.C. 78w(a) 15 U.S.C. 78q(h) 15 U.S.C. 77q(a) 15 U.S.C. 78n 15 U.S.C. 78dd-1 15 U.S.C. 78b 15 U.S.C. 78o(c) 15 U.S.C. 80(a)-23 15 U.S.C. 78c 15 U.S.C. 78o(g) 15 U.S.C. 80a-29 15 U.S.C. 78j 15 U.S.C. 78o-4 15 U.S.C. 80a-37 15 U.S.C. 78k-1(c) 15 U.S.C. 78o-5 15 U.S.C. 77s(a) 15 U.S.C. 781 15 U.S.C. 78q(a) 15 U.S.C. 78i(a) 15 U.S.C. 78m 15 U.S.C. 78q(b) 15 U.S.C. 78o(b) No NPRM 12/31/2020 85 FR 87106 NPRM Comment Period End 03/01/2021 Second NPRM 03/18/2022 87 FR 15496 Second NPRM Comment Period End 04/18/2022 NPRM Comment Period Reopened 05/12/2022 87 FR 29059 NPRM Comment Period End 06/13/2022 87 FR 29059 Final Action 04/00/2023 Undetermined None No No No Tyler Raimo Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-6227 raimot@sec.gov 100 F Street NE, Washington DC 20549