Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Tuesday, April 13, 2010

Agenda for SEC's April 14 Meeting

At the April 14 SEC Open Meeting, the Commission will consider the following:

Item 1: Large Trader Reporting System
The Commission will consider whether to propose a large trader reporting requirement, pursuant to Section 13(h) of the Securities Exchange Act of 1934, which would require large traders to identify themselves to the Commission and require broker-dealers to maintain certain related transaction records.

Item 2: Proposed Amendments to Rule 610 of Regulation NMS
The Commission will consider whether to propose rule amendments regarding (a) prohibiting unfairly discriminatory terms that inhibit efficient access to quotations in a listed option on exchanges, and (b) placing limits on fees for the execution of an order against any quotation in an options series that is the best bid or best offer of an exchange.

http://lawprofessors.typepad.com/securities/2010/04/agenda-for-secs-april-14-meeting.html

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