Regulatory Alerts2018-11-13 | 2018-24549Added
Regulation of NMS Stock Alternative Trading Systems
The Securities and Exchange Commission issued a final rule providing a technical correction to the regulatory requirements for Alternative Trading Systems trading National Market System stocks. This action specifically amends Part III, Item 15.a of Form ATS-N to correct a citation contained in the adopted language of the previous rule. The correction became effective on November 13, 2018, and does not alter the substantive reporting obligations for these trading systems.
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