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SEC RIN: 3235-AL66 Publication ID: Fall 2014 
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.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time 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 USC 77g    15 USC 77q(a)    15 USC 78b    15 USC 78c    15 USC 78j    15 USC 78k-1(c)    15 USC 78l    15 USC 78m    15 USC 78mm    15 USC 78n    15 USC 78o(c)    15 USC 78o(g)    15 USC 78q(a)    15 USC 78q(b)    15 USC 78w(a)    15 USC 78dd-1    15 USC 80a-23    15 USC 80a-29    15 USC 80a-37    15 USC 77s(a)    15 USC 78i(a)    15 USC 78o(b)    15 USC 78q(h)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2015 
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