---
title: SEC Market Structure Proposed Rules
description: In our newest report, we analyze the latest SEC proposed rules and highlight 6 ways they could impact compliance teams.
---

### SEC Market Structure Proposed Rules

# Compliance and Trade Surveillance Considerations

## Implications for Compliance Teams, particularly at Broker-Dealers

The Securities and Exchange Commission (SEC) has issued four rule proposals with significant implications to the existing equity market structure in the United States. Our team of regulatory experts outlined how two of these proposed rules could impact trade surveillance.

Key insights include:

- An analysis of the "Order Competition" (auction for retail trades) and "Minimum Price Increment" proposed rules
- Technical aspects of these proposals including exceptions and requirements for broker-dealers
- 6 ways compliance trade surveillance teams could be impacted and guidance on how to prepare

**Protect your firm** from risk with these insights.

### Download the free report

## "The SEC’S own questions for industry in the proposed rule suggest the commission itself is still grappling with complex, technical issues"

[ Get The Insights ](https://info.eventus.com/sec-proposed-rules-compliance-and-trade-surevillance-considerations#ContactUs)

![Thumbnail SEC Proposal](https://info.eventus.com/hs-fs/hubfs/Thumbnail%20SEC%20Proposal.png?width=1545&height=2000&name=Thumbnail%20SEC%20Proposal.png)

## Relevant News

[

#### VALIDUS IN PRACTICE (VIP)

### SEC and CFTC Request Double-Digit Budget Increases in Part to Expand Trade Surveillance Capabilities

 April 17, 2023 

](https://www.eventus.com/sec-and-cftc-request-double-digit-budget-increases-in-part-to-expand-trade-surveillance-capabilities/) [

#### INDUSTRY INSIGHTS

### Equities Trading Rule-Change Proposals: Implications for Data and Surveillance

 Feb. 7, 2023 

](https://www.eventus.com/equities-trading-rule-change-proposals-implications-for-data-and-surveillance/) [

#### VALIDUS IN PRACTICE (VIP)

### Running a Trade Surveillance System Without Proper Calibration and Procedures Is Like Having a Race Car With No Brakes

 Nov 15, 2022 

](https://www.eventus.com/running-a-trade-surveillance-system-without-proper-calibration-and-procedures-is-like-having-a-race-car-with-no-brakes/)

### Awards and Accolades

## Cutting-Edge Technology and Exceptional Service

![RegTech 100 Award 2022@2x](https://info.eventus.com/hubfs/Award%20Logos%20(2023)/RegTech%20100%20Award%202022@2x.png) ![RiskTech2022-TSP@2x](https://info.eventus.com/hubfs/Award%20Logos%20(2023)/RiskTech2022-TSP@2x.png) ![2022_MCA_Eventus@2x](https://info.eventus.com/hubfs/Award%20Logos%20(2023)/2022_MCA_Eventus@2x.png)

## Premier Trade Surveillance Software

### Keep up with increasing market volatility and an ever-changing regulatory landscape with a trade monitoring solution tailored to your firm's specific needs.

[Explore Validus ](https://info.eventus.com/broker-dealer-compliance-amer?hsLang=en)