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SEC RIN: 3235-AM60 Publication ID: Fall 2019 
Title: Amendments to NMS Plan for the Consolidated Audit Trail--Operational Transparency and Financial Accountability 
Abstract:

The Division is considering recommending that the Commission propose amendments to the National Market System Plan Governing the Consolidated Audit Trail regarding operational transparency and financial accountability.

 
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: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78k-1(a)(3)(B)    15 U.S.C. 78q(a)    15 U.S.C. 78q(b)    15 U.S.C. 78s(b)    15 U.S.C. 78w(a)    17 CFR 242.608(a)(2)    17 CFR 242.608(b)(2)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/00/2019 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
David Hsu
Assistant Director, Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5664
Email: hsud@sec.gov