Securities and Exchange Commission October 2021 – Federal Register Recent Federal Regulation Documents

The Securities and Exchange Commission (``Commission'') is requesting comment on potential technical changes related to how entities and individuals access the Commission's Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') to make submissions, and how these entities and individuals (``filers'') manage the permissions of individuals who may file on EDGAR on their behalf. Individuals who seek to file on EDGAR on behalf of a filer would be directed to a third-party service provider to create individual user account credentials and to enable multifactor authentication. Each filer would designate a ``filer administrator''analogous to the current filer contact person who receives the filer's EDGAR access codesto manage the permissions of the filer's individual users through a new filer management tool on EDGAR.

End of Day Volume Summary and Intra-Day Volume Summary. The End of Day Volume Summary will contain historical data from the previous trading day and would be available after the end of each trading day, generally on a T+1 basis. The Intra-Day Volume Summary would include ``snapshots'' taken every 10 minutes throughout the trading day and would be available within five minutes of the conclusion of each 10-minute period. Each update would represent combined data captured from the current ``snapshot'' and all previous ``snapshots'' and thus would provide open-close data on an aggregate basis. The Exchange does not currently intend to charge any fees to subscribe to NYSE Options Open-Close Volume Summary. The Exchange will submit a proposed rule change to the Commission when it determines to charge fees associated with the receipt of NYSE Options Open-Close Volume Summary. The Exchange plans to introduce the NYSE Options Open-Close Volume Summary when the Exchange transitions to the Pillar trading platform, anticipated for the fourth quarter of 2021.\11\ The Exchange will announce the exact date that the NYSE Options Open-Close Volume Summary will become available through a NYSE Trader Update.