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SEC | RIN: 3235-AM45 | Publication ID: Fall 2021 |
Title: Regulation ATS for ATSs That Trade U.S. Government Securities and Amendments to the Definition of Exchange | |
Abstract:
The Division is considering recommending that the Commission repropose amendments to Regulation ATS designed to increase operational transparency and foster oversight of alternative trading systems (ATSs) that transact in government securities, as well as require the electronic filing of a modernized version of Form ATS. The Division is also considering amending Rule 3b-16 to include trading venues that display quotes and other trading interest. |
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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 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 |
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Timetable:
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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 Email: raimot@sec.gov |