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SEC | RIN: 3235-AM45 | Publication ID: Fall 2023 |
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. |
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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: 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 |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: https://www.sec.gov/files/rules/proposed/2022/34-94062.pdf; https://www.sec.gov/files/34-97309.pdf | Public Comment URL: https://www.sec.gov/comments/s7-02-22/s70222.htm |
RIN Data Printed in the FR: Yes | |
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 |