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Consolidated Audit Trail (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) The Law Library

The Law Library presents the complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018



The Securities and Exchange Commission ("Commission") is adopting Rule 613 under the Securities Exchange Act of 1934 ("Exchange Act" or "Act") to require national securities exchanges and national securities associations ("self-regulatory organizations" or "SROs") to submit a national market system ("NMS") plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.



This ebook contains:

- The complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure