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SEC | RIN: 3235-AL66 | Publication ID: Spring 2015 |
Title: Amendments to Regulation ATS: Registration of NMS Stock Alternative Trading Systems ("ATS") and Public Disclosures | |
Abstract:
The Division is considering recommending that the Commission propose amendments to Regulation ATS designed to increase transparency and foster oversight of ATSs that transact NMS stocks. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 242.300 et seq | |
Legal Authority: 15 U.S.C. 77g 15 U.S.C. 77q(a) 15 U.S.C. 78b 15 U.S.C. 78c 15 U.S.C. 78j 15 U.S.C. 78k-1(c) 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78mm 15 U.S.C. 78n 15 U.S.C. 78o(c) 15 U.S.C. 78o(g) 15 U.S.C. 78q(a) 15 U.S.C. 78q(b) 15 U.S.C. 78w(a) 15 U.S.C. 78dd-1 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-37 15 U.S.C. 77s(a) 15 U.S.C. 78i(a) 15 U.S.C. 78o(b) 15 U.S.C. 78q(h) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Marsha Dixon Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5782 Email: dixonma@sec.gov |