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Letter by Chair Atkins suggests changes to funding as well as further rulemaking by the regulator will likely follow.
Nasdaq General 7 Rules (Series)
Enforce the Consolidated Audit Trail (CAT) requirements for exchange members under SEC Rule 613, which governs the tracking of order and trade lifecycle data across US equity and listed options markets.
Rule Overview
Jurisdiction: United States
Regulator: Nasdaq
Topic: Reporting
Nasdaq General 7 Consolidated Audit Trail ComplianceOverview
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In remarks looking toward her upcoming departure from the SEC, Commissioner Peirce spoke of why US capital markets inspire people globally to raise money and invest in the US.
The SEC chief touched on his plans to “Make IPOs great again,” review the costs of the Consolidated Audit Trail and PCAOB, and support crypto clarity.
Going to the SEC for approval are also proposals for revised corporate financing rules, outside activities requirements, and an increase to the gift limit.
SEC wants to provide more crypto regulatory clarity, plus support capital formation and narrow disclosure mandates.
An appeals court struck down the SEC's funding plan for its Consolidated Audit Trail in a decision that adds pressure on the SEC.
Could new rulemakings reshape how registrants operate in digital markets?
Rapid structural change is, however, leading to some industry challenges, which are accentuated by changes in investors’ needs
