Home / Agencies / SEC / 2026-05401
Proposed Rule

Publication or Submission of Quotations Without Specified Information

Agency
SEC
Document Number
2026-05401
Published
March 19, 2026
Effective Date
-

Abstract

The Securities and Exchange Commission ("Commission") is proposing amendments to revise a rule that governs certain information gathering and review requirements that brokers and dealers must satisfy before initiating (or resuming) any quotation for a security in a quotation medium other than a national securities exchange. The proposed amendments would revise the rule to refer to only equity securities.

Federal Register Source

This document is published by the Office of the Federal Register, National Archives and Records Administration. Access the full regulatory text, preamble, and docket comments below.

View Full Text on FederalRegister.gov →

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Frequently Asked Questions

What is the 2026-05401 Federal Register document?
Document 2026-05401 is a Proposed Rule published by the Securities and Exchange Commission in the Federal Register on March 19, 2026. The Securities and Exchange Commission ("Commission") is proposing amendments to revise a rule that governs certain information gathering and review requirements that brokers and dealers must satisfy before initiating (or resuming) any quotation for a security in a quotation medium other than a national securities exchange. The proposed amendments would revise the rule to refer to only equity securities. View the original at https://www.federalregister.gov/documents/2026/03/19/2026-05401/publication-or-submission-of-quotations-without-specified-information.
Is document 2026-05401 an economically significant rule?
No. Document 2026-05401 is not classified as economically significant under Executive Order 12866. Economically significant rules require OIRA review and are estimated to have impacts of $100 million or more per year.

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