Reg NMS Stock ATS; Dually listed securities

STA Issues

*SEC Release No. 34-767474; File No. S7-23-15; Regulation of NMS Stock Alternative Trading Systems (“Proposal”)
*Request to NMS Plan Participants to exclude Canadian dually listed securities from Tick Size Pilot based on FINRA January 11, 2016 Notice on new version of the OATS reporting requirements which reflect the elimination to require the reporting of away executions. (“Dually listed securities”)

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