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SEC RIN: 3235-AN16 Publication ID: Fall 2022 
Title: Regulation ATS Modernization 
Abstract:

The Division is considering recommending that the Commission propose amendments to Regulation ATS to modernize the conditions to the ATS exemption for all ATSs. This includes considering recommending that the Commission propose requirements to promote pre-trade price transparency across asset classes.

 
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 242.300 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. 78c    15 U.S.C. 78o(g)    15 U.S.C. 80a-23    15 U.S.C. 80a-29    15 U.S.C. 78    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)    15 U.S.C. 78c    15 U.S.C. 78e    15 U.S.C. 78f    15 U.S.C. 78k-1    15 U.S.C. 78o-3    ...   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
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