Bridge over ocean
26 February 2016 Comment Letter

Comment Letter on Regulation of NMS Stock Alternative Trading Systems

  1. Kurt Schacht, JD, CFA
  2. James Allen, CFA

This rule will require alternative trading systems to file a new registration form that would include a description of its activities and the activities of its broker-dealer operator and other affiliates. The form would be publicly available.

This rule will require alternative trading systems to file a new registration form that would include a description of its activities and the activities of its broker-dealer operator and other affiliates. The form would be publicly available.

View Comment Letter

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