Federal Register Title
This benchmark will help determine your readiness for: Federal Register Document titled Shared Certificates and Pooled Hiring Actions. Document Number: 2026-18828
Buy this Course
FR-26-2208-1
SEC Proposed Rescission: Trade-Through and Locked/Crossed Markets Rules in Regulation NMS
$199.99
This in-depth course examines the SEC’s proposal to rescind the Trade-Through Rule (Rule 611) and Locked and Crossed Markets Prohibition (Rule 610(e)) under Regulation NMS. Learn the rationale behind these proposed changes, how evolving technology and market structure have influenced this major policy shift, and what conforming amendments could mean for your compliance strategies. Discover anticipated impacts, benefits, and risks for brokers, exchanges, trading firms, and investors, and see how you can participate in the rulemaking process.
In this course you will learn the following:
* Understand the goals and rationale behind the proposed rescission of Rules 611 and 610(e).
* Describe the historical context and evolution of Regulation NMS and U.S. equity market structure.
* Identify the anticipated impacts on market efficiency, competition, and capital formation.
* Recognize the opportunities for public comment and the importance of stakeholder engagement.
* Explain the potential changes and uncertainties as the rule is not yet final.
Listen to a short Podcast discussing this course:
NOTE: Unless otherwise indicated, all course purchases are for access to the course for a period of 1-year. At the end of the one year term, the course will be set to “inactive”.
Why This Course is Important
Without this course, you may miss critical insights on upcoming regulatory shifts, risk falling behind on compliance, and lose opportunities to provide feedback or adapt to the changing landscape before rules are finalized.
Course Details
This is a self-paced eLearning course based on the Federal Register Document titled The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS.
Key regulatory references include:
- 17 CFR Part 240 – General Rules and Regulations, Securities Exchange Act of 1934
- 17 CFR Part 242 – Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures
Course SKU
FR-26-2003-1