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SEC RIN: 3235-AM45 Publication ID: Spring 2022 
Title: Amendments to Exchange Act Rule 3b-16 re Definition of "Exchange"; Regulation ATS and Regulation SCI for ATSs That Trade U.S. Government Securities, NMS Stocks and Other Securities 
Abstract:

The Division is considering recommending that the Commission adopt proposed amendments to Exchange Act Rule 3b-16 to include systems that offer the use of non-firm trading interest and communication protocols to bring together buyers and sellers of securities.

The Division is considering recommending that the Commission adopt proposed amendments to Regulation ATS and Regulation SCI for ATSs that trade U.S. Government Securities, NMS stock, and other types of securities and to require the electronic filing of a modernized version of Form ATS and Form ATS-R.

 
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 
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
Timetable:
Action Date FR Cite
NPRM  12/31/2020  85 FR 87106   
NPRM Comment Period End  03/01/2021 
Second NPRM  03/18/2022  87 FR 15496   
Second NPRM Comment Period End  04/18/2022 
Final Action  10/00/2022 
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
Email: raimot@sec.gov