17 CFR 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks
| Cite as | 17 CFR 242.601 |
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86 practice notes
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Part III
...to the joint industry plan governing consolidated transaction reporting declared effective by the Commission pursuant to Rule 601 (17 CFR 242.601) or its predecessors, Rule 11Aa3-1 and Rule 17a-15, and to grant exemptions from Rule 601 pursuant to Rule 601(f) (17 CFR 242.601(f)) to exchange......
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Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
...less in annual receipts.\295\ --------------------------------------------------------------------------- \292\ 17 CFR 240.0-10(d). \293\ 17 CFR 242.601. \294\ 17 CFR \295\ 13 CFR 121.201, Sector 52. --------------------------------------------------------------------------- Based on the Co......
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Listing Standards for Recovery of Erroneously Awarded Compensation
...be considered small entities. --------------------------------------------------------------------------- \347\ 5 U.S.C. 601(6). \348\ 17 CFR 242.601. \349\ 17 CFR \350\ 17 CFR 230.157. \351\ 17 CFR 240.0-10(a). \352\ 17 CFR 270.0-10(a). -----------------------------------------------------......
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Part II
...to the joint industry plan governing consolidated transaction reporting declared effective by the Commission pursuant to Rule 601 (17 CFR 242.601) or its predecessors, Rule 11Aa3-1 and Rule 17a-15, and to grant exemptions from Rule 601 pursuant to Rule 601(f) (17 CFR 242.601(f)) to exchange......
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9 cases
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In re Facebook, Inc., IPO Sec. & Derivative Litig., MDL No. 12-2389
...bids and offers ("BBOs")); and (ii) reports of executed trades. The SIP consolidates and makes the data available to the public. See 17 C.F.R. §§ 242.601, 602 & 603. After the Facebook IPO Cross, trading occurred on NASDAQ and other markets. (See CAC ¶ 121 (more than 80 million shares of Fa......
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Netcoal. v. Sec., Nos. 09-1042, 09-1045.
...most recent trade on NYSE Arca) and the current best bid and offer to one of several central data processors for consolidation. See 17 C.F.R. §§ 242.601, 242.602. Each central data processor then disseminates the consolidated information, including the NBBO, to broker-dealers and data vendo......
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In re Facebook, Inc., MDL No. 12–2389.
...bids and offers (“BBOs”)); and (ii) reports of executed trades. The SIP consolidates and makes the data available to the public. See17 C.F.R. §§ 242.601, 602 & 603. After the Facebook IPO Cross, trading occurred on NASDAQ and other markets. ( See CAC 1121 (more than 80 million shares of Fac......
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Netcoalition v. Sec., Nos. 10–1421
...omitted), is reported by the exchanges to data processors, which then consolidate it into a single stream of data for each NMS stock. 17 C.F.R. §§ 242.601–.603. Because the SEC requires exchanges to provide this data, the SEC has determined that fees charged for core data “need to be tied t......
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1 firm's commentaries
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SEC Chair Clayton Addresses Proposed Order on Access to Equity Market Data
...All (Aug. 22, 2019), available at https://www.nyse.com/equities-insights#20190822. [10] 15 U.S.C. 78k-1; Rules 601–603 of Regulation NMS, 17 CFR 242.601–603. [11] Section 11A of the Exchange Act provides the Commission with the authority to directly order the SROs to develop a new NMS plan.......