Regulatory Alerts2018-08-07 | 2018-15896Added · Updated
Regulation of NMS Stock Alternative Trading Systems
The Securities and Exchange Commission adopted amendments to Regulation ATS to impose heightened transparency and operational requirements on Alternative Trading Systems trading National Market System stocks. These rules mandate the use of a new Form ATS-N for detailed disclosures regarding operations and broker-dealer activities, establish a Commission review process to declare filings ineffective, and require public posting of these filings via EDGAR. Additionally, the amendments require all ATSs to implement written safeguards and procedures to protect subscribers' confidential trading information.
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