The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more
5/9/2023
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Clearing Agencies ,
Comment Period ,
Cryptoassets ,
Cybersecurity ,
Data Repositories ,
Proposed Amendments ,
Regulation SCI ,
Securities ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Data Repositories ,
Third-Party Service Provider ,
Vendors
The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading interest and alternative trading systems (ATSs) that trade government...more
On November 18, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems (“ATSs”) that...more
On October 27, 2015, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its second meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC. The Committee is considering...more
11/6/2015
/ Alternative Trading System (ATS) ,
Broker-Dealer ,
Equity Markets ,
Exchange-Traded Products ,
Market Participants ,
Mary Jo White ,
Professional Conferences ,
Publicly-Traded Companies ,
Regulatory Standards ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC)