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SEC

RIN: 3235-AM09

Publication ID: Spring 2018

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 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: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Long-Term Actions
Major: Undetermined	Unfunded Mandates: No
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 U.S.C. 77c 15 U.S.C. 77d 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77q(a) 15 U.S.C. 77s 15 U.S.C. 77t 15 U.S.C. 77z-2 15 U.S.C. 77z-3 15 U.S.C. 77eee 15 U.S.C. 77ggg 15 U.S.C. 77nnn 15 U.S.C. 77sss 15 U.S.C. 77ttt 15 U.S.C. 77uuu 15 U.S.C.78 et seq. 15 U.S.C. 78b 15 U.S.C. 78c 15 U.S.C. 78c-3 15 U.S.C. 78c-5 15 U.S.C. 78d 15 U.S.C. 78d-1 15 U.S.C. 78e 15 U.S.C. 78f 15 U.S.C. 78g 15 U.S.C. 78i 15 U.S.C. 78j 15 U.S.C.78j-1 15 U.S.C. 78k 15 U.S.C. 78k-1 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78n-1 15 U.S.C. 78o 15 U.S.C. 78o-4 15 U.S.C. 780-10 15 U.S.C. 78p 15 U.S.C. 78q 15 U.S.C. 78q-1 15 U.S.C. 78s 15 U.S.C. 78u 15 U.S.C. 78u-5 15 U.S.C. 78w 15 U.S.C. 78x 15 U.S.C. 78dd 15 U.S.C. 78dd-1 15 U.S.C. 78ll 15 U.S.C. 78mm 15 U.S.C. 80a-20 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-37 15 U.S.C. 80a-41 15 U.S.C. 80b-3 15 U.S.C. 80b-4 15 U.S.C. 80b-9 15 U.S.C. 80b-11 15 U.S.C. 7201 et seq. 15 U.S.C. 8302 7 U.S.C. 2(c)(2)(E) 7 U.S.C. 5221(e)(3) 7 U.S.C. 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