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SEC RIN: 3235-AL85 Publication ID: Spring 2024 
Title: Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding FOCUS Report 

The Division is considering recommending that the Commission require electronic filing or submission of certain forms and other filings or submissions that are required to be filed with or submitted to the Commission under the Securities Exchange Act of 1934 and the rules and regulations under the Exchange Act. The Commission proposed to require the electronic filing or submission on the Commission’s Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system, using structured data where appropriate, for certain forms filed or submitted by self-regulatory organizations ("SROs"). The proposal would require the information currently contained in Form 19b-4(e) to be publicly posted on the SRO’s website and remove the manual signature requirements for SRO proposed rule change filings. The Commission also proposed that a clearing agency post supplemental material to its website. In addition, the proposal would amend rules under the Exchange Act and the Securities Act of 1933 to require the electronic filing or submission on EDGAR, using structured data where appropriate, of certain forms, reports and notices provided by broker-dealers, security-based swap dealers and major security-based swap participants. The proposed amendments also would require withdrawal in certain circumstances of notices filed in connection with an exception to counting certain dealing transactions toward determining whether a person is a security-based swap dealer. Finally, the Commission proposed to allow electronic signatures in certain broker-dealer filings, and proposed amendments regarding the Financial and Operational Combined Uniform Single Report ("FOCUS Report") to harmonize with other rules, make technical corrections, and provide clarifications.

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 202.3, 232.100, 232.101 and 232.201    17 CFR 240.3a71-3, 240.6a-1 and 240.6a-2    17 CFR 240.6a-3, 240.6a-4 and 240.15Aa-1    17 CFR 240.15Aa-2, 240.15Aj-1 and 240.15Fi-3    17 CFR 240.15Fk-1, 240.17a-5 and 240.17a-12    17 CFR 240.17a-19 and 240.17a-22    17 CFR 240.17h-2T, 240.17Ab2-1 and 240.18a-7    17 CFR 240.19b-4, 240.19b-7 and 240.24b-2    17 CFR 249.1, 249.10, 249.801 and 249.200    17 CFR 249.328T, 249.617 and 249.617    17 CFR 249.617, 249.617, 249.635 and 249.801    17 CFR 249.819 and 249b.200   
Legal Authority: 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a)    15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-3, 78o-8, 78q, 78q-1, 78s, 78w, 78dd and 78ll    15 U.S.C. 77rrr    15 U.S.C. 80a-8    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37    Pub. L. 111-203, sec. 761(b)   
Legal Deadline:  None
Action Date FR Cite
NPRM  04/18/2023  88 FR 23920   
NPRM Comment Period End  05/22/2023 
Final Action  10/00/2024 
Regulatory Flexibility Analysis Required: YES  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755