Cherie Weldon

Cherie Weldon

WilmerHale

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SEC Proposes Significant New Regulatory Obligations for Communication Protocol Systems and Government Securities ATSs

The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading interest and alternative trading systems (ATSs) that trade government...more

2/10/2022  /  Alternative Trading System (ATS) , Broker-Dealer , Comment Period , Government Securities , Proposed Regulation , Regulation SCI , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC Proposes Significant Regulatory Changes for Alternative Trading Systems

On November 18, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems (“ATSs”) that...more

1/5/2016  /  Algorithmic Trading , Alternative Trading System (ATS) , Broker-Dealer , Confidential Information , Dark Pool , Filing Requirements , Institutional Investors , Proposed Regulation , Securities and Exchange Commission (SEC) , Third-Party Service Provider
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