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Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers; Delegation of Authority

SEC · final-rule · Published 1995-06-02 · Effective 1994-12-28 · 60 FR 28716

Document

Document number
95-13465
Federal Register citation
60 FR 28716
CFR reference
17 CFR 200
Type
Rule
Action
Final rule; change of effective date.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1995-06-02
Effective date
1994-12-28
Docket
Release No. 34-35775

Abstract

The Securities and Exchange Commission (``Commission'') is postponing the effective date that registered broker-dealer sponsors of certain automated trading systems (as defined in Rule 17a-23) (``Broker-Dealer Trading Systems'') must comply with the recordkeeping requirements of Rule 17a-23 under Section 17 of the Securities Exchange Act of 1934 from June 1, 1995 to July 1, 1995, in order to facilitate the process of conversion to a standard trade settlement time frame of three business days after the trade date. In addition, the Commission is amending its regulation concerning Organization and Program Management<SUP>1 to delegate authority to the Director of the Division of Market Regulation (``Division'') to grant exemptions to any sponsor, or class of sponsors, of a Broker-Dealer Trading System or Systems from any or all of the provisions of Rule 17a-23, either unconditionally or on specified terms and conditions, if the Director of the Division determines that such exemption is consistent with the public interest or the protection of investors.

Source

Authoritative
Federal Register document
Machine
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