Final Rule
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Overview
The Securities and Exchange Commission is adopting amendments to the national market system plan governing the consolidated audit trail. The amendments impose public transparency requirements on the self-regulatory organizations that are participants in the plan. Under the amendments, plan participants are required to publish and file with the Securities and Exchange Commission a complete implementation plan for the consolidated audit trail and quarterly progress reports. The amendments also establish financial accountability provisions.
Prior Actions
Proposed Rule (34-86901)
Release Number
34-86901
SEC Issue Date
Sept. 9, 2019
Federal Register Publish Date
Sept. 13, 2019
Document Citation
84 FR 48458
RIN
3235-AM60
Resources
Details
File Number
S7-13-19
Rule Type
Final
Release Number
34-88890
SEC Issue Date
May 15, 2020
Effective Date
June 22, 2020
Federal Register Publish Date
May 22, 2020
Document Citation
85 FR 31322
RIN
3235-AM60