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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

Proskauer - Corporate Defense and Disputes

SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

Proskauer - Corporate Defense and Disputes on

The SEC announced this week its proposal to substantially overhaul the rules regarding alternative trading systems (“ATS”), often referred to as dark pools. The proposed rules would require firms operating ATSs to make...more

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