ATSs that trade NMS stocks should prepare for new Form ATS-N filings requiring substantial public disclosure of their operations and their broker-dealer operator’s ATS-related activities.
Summary -
On July 18, 2018,...more
Crypto asset trading platform operators should prepare to comply with securities regulations if the crypto assets traded are securities.
Key Points:
..Finding that the digital assets traded on the BitFunder platform...more
The proposal would subject ATSs that effect transactions in listed stocks to significant new disclosure and transparency requirements.
On November 18, 2015, the US Securities and Exchange Commission (SEC) proposed rules...more