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SEC RIN: 3235-AM45 Publication ID: Fall 2020 
Title: Regulation of Alternative Trading Systems (Government Securities) 

The Division is considering recommending that the Commission propose amendments to Regulation ATS designed to increase operational transparency and foster oversight of ATSs that transact in government securities, as well as require the electronic filing of Forms ATS and ATS-R. 

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 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 300 et seq.   
Legal Authority: 15 U.S.C. 77g    15 U.S.C. 78mm    15. U.S.C. 78w(a)    15 U.S.C. 78q(h)    15 U.S.C. 77q(a)    15 U.S.C. 78n    15 U.S.C. 78dd-1    15 U.S.C. 78b    15 U.S.C. 78o(c)    15 U.S.C. 80(a)-23    15 U.S.C. 78c    15 U.S.C.78o(g)    15 U.S.C. 80a-29    15 U.S.C. 78j    15 U.S.C.78o-4    15 U.S.C.80a-37    15 U.S.C. 78k-1(c)    15 U.S.C. 78o-5    15 U.S.C. 77s(a)    15 U.S.C. 781    15 U.S.C. 78q(a)    15 U.S.C. 78i(a)    15 U.S.C. 78m    15 U.S.C. 78q(b)    15 U.S.C. 78o(b)   
Legal Deadline:  None
Action Date FR Cite
NPRM  11/00/2020 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Tyler Raimo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6227