← Independent regulator rules (SEC/Fed/FDIC/SBA/FTC/NCUA/CPSC/FHFA/EEOC/NLRB)

Confirmation and Affirmation of Securities Trades; Matching

SEC · interpretive · Published 1998-04-13 · Effective 1998-04-13 · 63 FR 17943

Document

Document number
98-9594
Federal Register citation
63 FR 17943
CFR reference
17 CFR 241
Type
Rule
Action
Interpretive release; request for comments.
Category
interpretive
Agency
US Securities and Exchange Commission
Publication date
1998-04-13
Effective date
1998-04-13
Docket
Release No. 34-39829

Abstract

The Securities and Exchange Commission (``Commission'') is publishing its interpretation that a ``matching'' service that compares securities trade information from a broker-dealer and the broker- dealer's customer is a clearing agency function. The Commission also is soliciting comment on two possible approaches for providing exemptive relief from full clearing agency regulation for qualified electronic trade confirmation (``ETC'') vendors that fall within the Commission's interpretation of clearing agency because they provide a matching service.

Source

Authoritative
Federal Register document
Machine
JSON-LD · Markdown