March 14, 2014

Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems to Report Activity Weekly

配信申込

ジャンプリンクテキスト

 
US-registered broker-dealers that operate Alternative Trading Systems will have to report volume information, by security, to FINRA weekly. The first report, for the week of May 12, 2014, is due May 28, 2014. ATS will, by November, require their own separate Market Participant Identifier (or “MPID”).

View full memo, Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems to Report Activity Weekly

コンタクト

Charles Gittleman

オブ・カウンセル

金融機関アドバイザリー・金融レギュレーション

+1 212 848 7317

+1 212 848 7317

ニューヨーク

Jennifer D. Morton

パートナー

金融機関アドバイザリー・金融レギュレーション

+1 212 848 5187

+1 212 848 5187

+1 646 645 3072

+1 646 645 3072

ニューヨーク