The SEC requested comment on a partial amendment that would clarify the CAT NMS Plan proposal to implement a revised funding model for the consolidated audit trail and establish a new fee schedule.
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The SEC extended the period to approve a joint SRO proposal to implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.
The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.
The U.S. Court of Appeals for the District of Columbia Circuit granted a petition for review and vacated an SEC Rule and related pilot program designed to test the effects of certain fees and rebate pricing models on the market.
The U.S. Court of Appeals for the District of Columbia Circuit reversed an SEC determination that the agency had the authority to undo "unreasonable" Nasdaq exchange "depth-of-book" fee increases.