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SEC RIN: 3235-AM22 Publication ID: Spring 2021 
Title: Amendments to Rules 17a-25 and 13h-1 Following Creation of the Consolidated Audit Trail 
Abstract:

On November 15, 2016, the Commission issued an Order Approving the National Market System Plan Governing the Consolidated Audit Trail (CAT). With the creation and implementation of the CAT, several Commission rules may become duplicative in whole or in part. The Division is considering recommending that the Commission propose to amend requirements in Rules 17a-25 and 13h-1 that may become duplicative once CAT is operational and meets minimum standards of accuracy and reliability.

 
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 
CFR Citation: 17 CFR 240.13-1(h)    17 CFR 240.17a-25(e)   
Legal Authority: 15 U.S.C. 78m(h)    15 U.S.C. 78w(a)    15 U.S.C. 78q(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Kathleen Gross
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5305
Email: grosskj@sec.gov