SEC Proposed Amendments to Reg ATS

Special Presenter: Adam Sussman, Liquidnet

STA completed two days of visits on the Hill and with the SEC. Topics discussed included the SEC’s proposed new rules to Regulation ATS. In particular, the policy and procedures under which ATSs will file amendments. We also discussed FIF’s recent comment letters on the data gathering requirements for the Tick Size Pilot.

CALL NOTES

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