View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AM09 Publication ID: Fall 2021 
Title: Electronic Filing of Form 1 and Form 1 Amendments; Form 19b-4(e) 
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 and Form 19b-4(e) by SROs that list and trade new derivative securities products.

 
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 
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
NPRM  04/00/2022 
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:
Michael Gaw
Division of Trading and Markets
Securities and Exchange Commission
Division of Market Regulation, 100 F Street NE,
Washington, DC 20549
Phone:202 551-5602
Email: gawm@sec.gov