Regulatory Alerts2020-12-31 | 2020-21781Added · Updated
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
The Securities and Exchange Commission proposes amendments to Regulation ATS to eliminate the exemption for alternative trading systems trading government securities, requiring them to register and file a new public Form ATS-G. The Commission also proposes extending Regulation Systems Compliance and Integrity to government securities ATSs meeting specific volume thresholds in U.S. Treasury and Agency Securities. Additionally, the document issues a concept release regarding the regulatory framework for electronic platforms trading corporate debt and municipal securities.
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