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SEC RIN: 3235-AL69 Publication ID: Fall 2016 
Title: Recordkeeping and Risk Controls Specific to Algorithmic Trading 
Abstract:

The Division is considering recommending that the Commission propose rules to enhance recordkeeping obligations for broker-dealers with respect to their proprietary orders and their use of trading algorithms.

 
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 
EO 13771 Designation: uncollected 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78f(o)    15 U.S.C. 78w(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2017 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
David Liu
Division of Trading and Markets
Securities and Exchange Commission
175 W. Jackson Boulevard, Suite 900,
Chicago, IL 60604
Phone:312 353-6265
Email: liud@sec.gov