Federal Register #SR-TXSE-2026-015

SEC Notice: Texas Stock Exchange Rule Change on CAT Compliance (Regulatory Update)

This notice from the Securities and Exchange Commission (SEC) addresses a regulatory update, not a procurement opportunity. - Government Buyer: - Securities and Exchange Commission (SEC) - No OEMs, vendors, or commercial products/services are mentioned - Subject: Immediate effectiveness of a Texas Stock Exchange LLC rule change - Amends Rule 4.007 to align with the National Market System Plan Governing the Consolidated Audit Trail (CAT NMS Plan) - Requires broker-dealers with CAT reporting obligations to indicate if an equity short sale order claims the bona fide market making exception under Rule 203(b)(2)(iii) of Regulation SHO - No products, part numbers, or quantities are being requested - No unique procurement requirements; this is a regulatory compliance notice

Description

This notice pertains to a proposed rule change filed by the Texas Stock Exchange LLC, which has been made effective immediately by the SEC. The rule change involves amendments to the exchange's compliance rules related to the Consolidated Audit Trail (CAT) plan for the National Market System. The amendment requires broker-dealers with reporting obligations to CAT to report whether an original receipt or origination of an order to sell an equity security is a short sale for which a market maker is claiming the bona fide market making exception. The change aims to align the exchange's compliance rule with the amended CAT NMS Plan and assist in regulatory obligations.

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