WebDec 14, 2015 · Under the Proposal, the Form ATS-N filed by each NMS Stock ATS must be affirmatively declared effective by an SEC order for the NMS Stock ATS to qualify for the exemption from registration as a national securities exchange. Upon filing, the SEC would review the form to determine whether the NMS Stock ATS qualifies for the exemption. WebAug 9, 2024 · The SEC prefers the quaint name of “Alternative Trading System (ATS)” for trading platforms operating as Dark Pools. Those entities must file a form ATS-N with the SEC to operate legally. According to the most recent list of filers at the SEC, Citadel Connect is not a duly-recognized Dark Pool.
SEC.gov Alternative Trading System ("ATS") List
Web34 rows · Feb 1, 2024 · Form ATS-N Filings and Information. Rule 304 of Regulation ATS requires alternative trading systems (“ATSs”) that trade NMS stocks (“NMS Stock ATSs”) … The Dodd-Frank Act established a comprehensive framework for regulating … You may call 202-551-5777 or send an email to [email protected] … The SEC Division of Market Regulation establishes and maintains standards for … WebFeb 28, 2024 · The requirements for filing reports using Form ATS can be found in Rule 301 (b) (2) of Regulation ATS. Based on information filed by ATSs on Form ATS, the ATS list … file size in windows 10
Regulation of NMS Stock Alternative Trading Systems
WebMar 14, 2024 · (a) Definitions.—In this section: (1) C OMMISSION.—The term “Commission” means the Federal Energy Regulatory Commission. (2) F ERC AUTHORIZATION.—The term “FERC authorization” means a permit, waiver, license, or other authorization required from the Commission relating to— (A) transportation of oil by pipeline in interstate … WebRe-proposing electronic filing of Form ATS–R and Form ATS and proposing certain changes to the categories of securities reported on Form ATS–R. TLDRS: SEC will hold an OPEN Meeting Friday, April 14, 2024 at 10:00 a.m. to consider whether to reopen the comment period for proposed amendments to Rule 3b-16: Amendments Regarding the … WebProposing several changes to Form ATS–N that would be applicable to both Government Securities ATSs and NMS Stock ATSs, including questions about the ATS’s interaction … file size in sharepoint