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
The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the over-the-counter (OTC) markets, i.e., quotes that are published away from a...more
10/30/2020
/ Alternative Trading System (ATS) ,
Amended Rules ,
American Depository Receipts (ADRs) ,
Broker-Dealer ,
Corporate Governance ,
Corporate Issuers ,
Crowdfunding ,
Foreign Private Issuers ,
Insurance Industry ,
Over-the-Counter Sales ,
Public Disclosure ,
Regulation A ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
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