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SEC | RIN: 3235-AL66 | Publication ID: Spring 2017 |
Title: Regulation of NMS Stock Alternative Trading Systems | |
Abstract:
The Commission proposed amendments to Regulation ATS designed to increase transparency and foster oversight of ATSs that transact in NMS stocks. |
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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: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.3a1-1 17 CFR 242.300 et seq. 17 CFR 242.301 17 CFR 242.303 17 CFR 249.640 | |
Legal Authority: 15 U.S.C. 78a 15 U.S.C. 78k-1 15 U.S.C. 78o 15 U.S.C. 78q(a) 15 U.S.C. 78q(b) 15 U.S.C. 78w(a) 15 U.S.C. 78mm |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/ryles/proposed/2015/34-76474 | |
RIN Data Printed in the FR: No | |
Agency Contact: Tyler Raimo Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6227 Email: raimot@sec.gov |