SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS

The Securities and Exchange Commission has issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS. The relief affects Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders.

Regulatory Relief and Its Impact

The SEC's order provides temporary reprieve for market participants from complying with new rules related to trading. These rules are designed to promote more efficient and transparent markets. The relief is intended to address potential challenges in implementing these changes, allowing firms to focus on compliance.

Key Areas Affected by the Exemptive Order

• Minimum Pricing Increments: Firms will not be required to comply with the new minimum pricing increments until a future date.
• Access Fees: The order suspends the effective date of new access fee requirements, allowing firms more time to adjust their practices.
• Transparency of Better Priced Orders: The exemptive relief delays the implementation of rules requiring greater transparency in better-priced orders.

Risk Assessment

**Risk Level:** High **Credibility:** High **Warning for Readers:** Regulatory changes may cause temporary market volatility. Investors should remain vigilant and adapt to changing regulatory landscapes.

Staying Ready

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