tailieunhanh - Securities and Exchange Commission: Consolidated Audit Trail

The Act also allows States to apply to the Secretary to implement a program for regulating organic products produced and handled within that State. The State must have noncompliance, mediation, and appeal procedures that meet NOP regulations to become a State Organic Program (SOP). If approved, the SOP is responsible for the enforcement of NOP regulations within the State. SOPs may also contain more restrictive requirements because of environmental conditions or the necessity for specific production or handling practices particular to that State. Currently, California and Utah are the only two approved SOPs | SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 242 Release No. 34-67457 File No. S7-11-10 RIN 3235-AK51 Consolidated Audit Trail AGENCY Securities and Exchange Commission ACTION Final rule. SUMMARY 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. EFFECTIVE DATE October 1 2012 FOR FURTHER INFORMATION CONTACT Rebekah Liu Special Counsel at 202 5515665 Jennifer Colihan Special Counsel at 202 551-5642 Carl Tugberk Special Counsel at 202 551-6049 or Leigh Duffy Special Counsel at 202 551-5928 Division of Trading and Markets Securities and Exchange Commission 100 F Street NE Washington DC 20549-7010. 1 SUPPLEMENTARY INFORMATION Table of Contents I. Executive Summary II. Introduction A. Need for and Objectives of a Consolidated Audit Trail 1. Use and Limitations of Current Sources of Trading Data 2. Regulatory Improvements with a Consolidated Audit Trail 3. Large Trader Reporting System Rule B. Summary of Proposed Rule 613 C. Summary of General Comments on the Proposed Rule 1. Industry Support for a Consolidated Audit Trail 2. Commenters Views on the Overall Costs of the Proposed Rule and the Resulting Framework of the Adopted Rule 3. Comments on the Process for Creating a Consolidated Audit Trail 4. Comments on Alternatives to the Proposed Consolidated Audit Trail III. Discussion A. NMS Plan 1. Description of the Rule B. Elements of the NMS Plan 1. Recording and Reporting 2. Central Repository 3. .

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