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SEC | RIN: 3235-AK53 | Publication ID: Spring 2010 |
Title: ●Risk Management Controls for Brokers or Dealers With Market Access | |
Abstract: The Commission proposed a new rule that would require brokers or dealers with access to trading directly on an exchange or alternative trading system, including those providing sponsored or direct market access to customers or other persons, to implement risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks of this business activity. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Info./Admin./Other |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15c3-5 | |
Legal Authority: 15 USC 78b 15 USC 78c(b) 15 USC 78k-1 15 USC 78o 15 USC 78q(a) and (b) 15 USC 78w(a_ |
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 | |
RIN Information URL: www.sec.gov/rules/proposed/2010/34-61379.pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Theodore Venuti Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5658 Fax:202 772-9274 Email: venutit@sec.gov |