View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AM54 Publication ID: Spring 2020 
Title: Initiation or Resumption of Quotations Without Specified Information 
Abstract:

The Division is considering recommending that the Commission adopt amendments to Rule 15c2-11, which governs the initiation or resumption of quotations by a broker-dealer without specified information.

 
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: Not Yet Determined     (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. 77s    15 U.S.C. 77z-2    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. 78c    15 U.S.C. 78d    15 U.S.C. 78f    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. 78o    15 U.S.C. 78p    15 U.S.C. 78q    15 U.S.C. 78s    15 U.S.C. 78u-5    15 U.S.C. 78w    15 U.S.C. 78x    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. 80b-3    15 U.S.C. 80b-4    15 U.S.C. 80b-11   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/30/2019  84 FR 58206   
NPRM Comment Period End  12/30/2019 
Final Action  10/00/2020 
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:
Laura Weber
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6508
Email: weberl@sec.gov