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SEC | RIN: 3235-AM22 | Publication ID: Fall 2022 |
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. |
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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 |
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Timetable:
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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: Dan Gray Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5603 Email: grayd@sec.gov |