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SEC | RIN: 3235-AL66 | Publication ID: Fall 2017 |
Title: Regulation of NMS Stock Alternative Trading Systems | |
Abstract:
The Commission proposed amendments to Exchange Act Rule 3a1-1(a) and Regulation ATS to increase operational transparency and foster oversight of ATSs that transact NMS stocks (NMS Stock ATSs”). The proposed amendments would: (1) require an NMS Stock ATS to publicly disclose, on proposed Form ATS-N, information about (i) the manner in which the ATS operates, and (ii) the ATS-related activities of the broker-dealer that operates the ATS and its affiliates; and (2) provide a process for the Commission to, by order, declare a Form ATS-N effective or, after notice and opportunity for hearing, ineffective. |
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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 |
EO 13771 Designation: Independent agency | |
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: Marsha Dixon Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5782 Email: dixonma@sec.gov |