FINRA’s Regulatory Notice 14-07; ATS Reporting

Special Presenter: Chris Stone, FINRA

On January 17, 2014, the SEC approved two (2) proposed FINRA rule changes; (i) adopt FINRA Rule 4552 which requires each ATS to report to FINRA weekly volume information and number of securities transactions within the ATS and (ii) to also require each ATS to acquire and use a single, unique MPID when reporting information to FINRA.

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