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On July 18, 2018, the Securities and Exchange Commission voted to adopt new Form ATS-N as well as amendments to Regulation ATS, which are intended to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade exchange-listed stocks (NMS Stock ATSs).
In this One-Hour Briefing, K. Susan Grafton of Dechert LLP, Vaishali Javeri of Credit Suisse, and Tyler Raimo of the SEC’s Division of Trading and Markets will:
- Provide an overview of alternative trading systems and how they are regulated;
- Review the disclosure requirements of new Form ATS-N;
- Discuss amendments to Regulation ATS and 1934 Act Rule 3a1-1; and
- Recap pending market structure initiatives.
Program Level: Update
Intended Audience: Outside counsel, in-house attorneys, government lawyers, compliance officers
Prerequisites: An interest in securities regulation and compliance, especially securities trading
Advanced Preparation: None