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SEC RIN: 3235-AJ33 Publication ID: Fall 2010 
Title: Fair Administration and Governance of Self-Regulatory Organizations  
Abstract: The Commission proposed new rules and amendments to existing rules and forms under the Exchange Act pertaining to the oversight and operation of self-regulatory organizations (SROs) that are national securities exchanges or national securities associations. The Division is considering recommending a re-proposal to the Commission. 
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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 78c    15 USC 78o-3    15 USC 78q    15 USC 78w   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/08/2004  69 FR 71126   
NPRM Comment Period End  01/24/2005    
NPRM Comment Period Extended  01/18/2005  70 FR 2829   
NPRM Comment Period End  03/08/2005    
Second NPRM  06/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Susie Cho
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5639
Fax:202 772-9275