View Rule

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

SEC RIN: 3235-AM45 Publication ID: Fall 2021 
Title: Regulation ATS for ATSs That Trade U.S. Government Securities and Amendments to the Definition of Exchange 

The Division is considering recommending that the Commission repropose amendments to Regulation ATS designed to increase operational transparency and foster oversight of alternative trading systems (ATSs) that transact in government securities, as well as require the electronic filing of a modernized version of Form ATS. The Division is also considering amending Rule 3b-16 to include trading venues that display quotes and other trading interest.

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 300 et seq.   
Legal Authority: 15 U.S.C. 77g    15 U.S.C. 78mm    15. U.S.C. 78w(a)    15 U.S.C. 78q(h)    15 U.S.C. 77q(a)    15 U.S.C. 78n    15 U.S.C. 78dd-1    15 U.S.C. 78b    15 U.S.C. 78o(c)    15 U.S.C. 80(a)-23    15 U.S.C. 78c    15 U.S.C.78o(g)    15 U.S.C. 80a-29    15 U.S.C. 78j    15 U.S.C.78o-4    15 U.S.C.80a-37    15 U.S.C. 78k-1(c)    15 U.S.C. 78o-5    15 U.S.C. 77s(a)    15 U.S.C. 781    15 U.S.C. 78q(a)    15 U.S.C. 78i(a)    15 U.S.C. 78m    15 U.S.C. 78q(b)    15 U.S.C. 78o(b)   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/31/2020  85 FR 87106   
NPRM Comment Period End  03/01/2021 
Second NPRM  04/00/2022 
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:
Tyler Raimo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6227