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Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers

SEC · final-rule · Published 2001-07-09 · Effective 2002-01-07 · 66 FR 35836

Document

Document number
01-17000
Federal Register citation
66 FR 35836
CFR reference
17 CFR 200
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2001-07-09
Effective date
2002-01-07
Docket
Release No. 34-44494

Abstract

The Securities and Exchange Commission ("Commission") is adopting Rule 17a-25 under Section 17 of the Securities Exchange Act of 1934 ("Exchange Act"), to require brokers and dealers to submit electronically to the Commission, upon request, information on customer and firm securities trading. Rule 17a-25 is designed to improve the Commission's capacity to analyze electronic submissions of transaction information, thereby facilitating Commission enforcement investigations and other trading reconstructions.

Source

Authoritative
Federal Register document
Machine
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