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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AL64 | Publication ID: Fall 2016 |
| Title: Dealer Status of Active Intraday Proprietary Trading Firms | |
|
Abstract:
The Division is considering recommending that the Commission provide additional guidance regarding the statutory definition of "dealer" under the Exchange Act. |
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| 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 U.S.C. 78w(a) | |
|
Legal Deadline:
None |
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Timetable:
|
| 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: Shauna Sappington Vlosich Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-4180 Email: sappintons@sec.gov |
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