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Alternative Trading System (ATS) Proposed Regulation Financial Industry Regulatory Authority (FINRA)

Freeman Law

Crypto Exchanges & the SEC’s Proposed Redefinition of an “Exchange”

Freeman Law on

Recently, the SEC published a proposed new regulation (the “Proposed Rule”) to amend the definition of an “exchange” for purposes of the Securities Exchange Act. Any person whose conduct meets the Proposed Rule’s new...more

Bracewell LLP

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer...

Bracewell LLP on

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight...more

Katten Muchin Rosenman LLP

FINRA Proposes Rule Establishing Fee Schedule for Access to ATS Volume Data

The Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt FINRA Rule 4553 (Fees for ATS Data), that would establish a fee schedule for optional...more

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