ARTICLE
5 January 2017

Federal Register: SEC Requests Comments On FINRA Proposal To Expand ATS Reporting Requirements

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
The SEC requested comments on a FINRA-proposed rule change that requires alternative trading systems to include additional order sequence information on reports submitted in the Order Audit Trail System.
United States Corporate/Commercial Law
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The SEC requested comments on a FINRA-proposed rule change that requires alternative trading systems to include additional order sequence information on reports submitted in the Order Audit Trail System. The request for comments was published in the Federal Register.

FINRA designated the proposal as a "non-controversial" rule change, which means the proposal is effective immediately upon the SEC's receipt of the filing. Comments on the proposal must be submitted by January 11, 2017.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

ARTICLE
5 January 2017

Federal Register: SEC Requests Comments On FINRA Proposal To Expand ATS Reporting Requirements

United States Corporate/Commercial Law

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
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