View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AK51 Publication ID: Fall 2010 
Title: Consolidated Audit Trail 
Abstract: The Commission proposed a rule that would require national securities exchanges and national securities associations to act jointly in developed a national market system ("NMS") plan to develop, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 242.613   
Legal Authority: 15 USC 78k-1(a)    15 USC 78q(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/08/2010  75 FR 32556   
NPRM Comment Period End  08/09/2010    
Final Action  03/00/2011    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2010/34-62174.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Jennifer L. Colihan
Division of Trading and Markets
Securities and Exchange Commission
Division of Market Regulation, 100 F Street NE,
Washington, DC 20549
Phone:202 551-5642
Email: colihanj@sec.gov