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Consolidated Audit Trail

SEC · final-rule · Published 2012-08-01 · Effective 2012-10-01 · 77 FR 45722

Document

Document number
2012-17918
Federal Register citation
77 FR 45722
CFR reference
17 CFR 242
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2012-08-01
Effective date
2012-10-01
Docket
Release No. 34-67457

Abstract

The Securities and Exchange Commission ("Commission") is adopting Rule 613 under the Securities Exchange Act of 1934 ("Exchange Act" or "Act") to require national securities exchanges and national securities associations ("self-regulatory organizations" or "SROs") to submit a national market system ("NMS") plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.

Source

Authoritative
Federal Register document
Machine
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