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56 SEC Docket 1 (1994)

handle is hein.journals/secdoc56 and id is 1 raw text is: I QX SEC DOCKET Volume 56, No. 1 February 25, 1994 SIGNIFICANT ITEMS PROPOSED RULE RECORDKEEPING AND REPORTING REQUIREMENTS FOR TRADING SYSTEMS OPERATED BY BROKERS AND DEALERS The Securities and Exchange Commission is proposing Rule 17a-23 (Rule) under the Securities Exchange Act of 1934 to establish recordkeeping and reporting requirements for brokers and dealers that operate automated trading systems. Registered broker-dealers sponsors of these systems would be required to maintain partici- pant, volume and transaction records, and to report system activity periodically to the Commission. The Rule would provide the Com- mission with the information necessary to effectively monitor and evaluate these system s . ......................................................... C 4ME CE LEA n NG HIoSE, 4C. 4025 West Peterson Avenue Chicago, Illinois 60646 RELEASES IN THIS VOLUME PAGE Securities Exchange Act 33579-33620 ............................................. 3 Public Utility Holding Company Act 25984-25988 ............................. 129 Investment Advisers Act 1402-1404 ................................................ 142 Investment Company Act 20055-20069 ............................................ 144 L itigation 13962- 13965 .................................................................. 180 Accounting and Auditing Enforcement 527 ......................................... 182 International Series 635- 636 .......................................................... 182 Administrative Proceedings Rulings 420-422 .................................... 182 This listing covers releases issued from 02/04/94-02/10/94. This listing does not affect the legal status of any document published in this issue. 34-33605 S7-3-94

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