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SEC RIN: 3235-AM09 Publication ID: Fall 2017 
Title: ●Electronic Filing of Form 1 and Form 1 Amendments; Form 19b-4(e); and Forms ATS and ATS-R 
Abstract:

The Division is considering recommending that the Securities and Exchange Commission propose rules and related forms that would require the electronic filing with the Commission of Form 1 by a prospective national securities exchange and amendments to Form 1 by national securities exchanges; Form 19b-4(e) by SROs that list and trade new derivative securities products; and Forms ATS and ATS-R regarding the initial, quarterly, and cessation of operation reports by ATSs.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: Undetermined 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 202.3    17 CFR 240.6a-1    17 CFR 240.6a-2    17 CFR 240.6a-3    17 CFR 240.19b-4    17 CFR 242-301    17 CFR 249.820     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 77c    15 USC 77d    15 USC 77g    15 USC 77j    15 USC 77q(a)    15 USC 77s    15 USC 77t    15 USC 77z-2    15 USC 77z-3    15 USC 77eee    15 USC 77ggg    15 USC 77nnn    15 USC 77sss    15 USC 77ttt    15 USC 77uuu    15 USC 78 et seq.    15 USC 78b    15 USC 78c    15 USC 78c-3    15 USC 78c-5    15 USC 78d    15 USC 78d-1    15 USC 78e    15 USC 78f    15 USC 78g    15 USC 78i    15 USC 78j    15 USC 78j-1    15 USC 78k    15 USC 78k-1    15 USC 78l    15 USC 78m    15 USC 78n    15 USC 78n-1    15 USC 78o    15 USC 78o-4    15 USC 780-10    15 USC 78p    15 USC 78q    15 USC 78q-1    15 USC 78s    15 USC 78u    15 USC 78u-5    15 USC 78w    15 USC 78x    15 USC 78dd    15 USC 78dd-1    15 USC 78ll    15 USC 78mm    15 USC 80a-20    15 USC 80a-23    15 USC 80a-29    15 USC 80a-37    15 USC 80a-41    15 USC 80b-3    15 USC 80b-4    15 USC 80b-9    15 USC 80b-11    15 USC 7201 et seq.    15 USC 8302    7 USC 2(c)(2)(E)    7 USC 5221(e)(3)    7 USC 1350    Pub. L. 111-203    Pub. L. 939A    124 Stat. 1376 (2010)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Federal 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Nancy J. Sanow
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5621
Email: sanown@sec.gov