Securities and Exchange Commission 2021 – Federal Register Recent Federal Regulation Documents
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Market Data Infrastructure
The Securities and Exchange Commission (``Commission'' or ``SEC'') is amending Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act'') to modernize the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in national market system (``NMS'') stocks (``NMS information''). Specifically, the Commission is expanding the content of NMS information that is required to be collected, consolidated, and disseminated as part of the national market system under Regulation NMS and is amending the method by which such NMS information is collected, calculated, and disseminated by fostering a competitive environment for the dissemination of NMS information via a decentralized consolidation model with competing consolidators.
Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
The Securities and Exchange Commission (``Commission'' or ``SEC'') is soliciting public comment on an application by the United Kingdom Financial Conduct Authority (``FCA'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security-based swap dealers and registered major security-based swap participants (together, ``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the United Kingdom (``UK'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of the UK. The Commission also is soliciting comment on a proposed Order providing for conditional substituted compliance in connection with the application.
Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
The Securities and Exchange Commission (``Commission'') is reopening the comment period for its proposed conditional substituted compliance order, published in the Federal Register on December 29, 2020, in connection with certain requirements applicable to non-U.S. security-based swap dealers and major security-based swap participants subject to regulation in the French Republic (``Proposed Order''). The reopening of the comment period is intended to allow interested persons time to analyze and comment upon potential changes to the Proposed Order and additional questions related to the Proposed Order.
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