Wenchi Hu

Wenchi Hu

Latham & Watkins LLP

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New SEC Rules Mandate Public Disclosures and Enhance NMS Stock ATS Oversight

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

8/3/2018  /  Alternative Trading System (ATS) , Disclosure Requirements , National Market System (NMS) , Publicly-Traded Companies , Regulation NMS , Securities and Exchange Commission (SEC)
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