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Targeted Exam Letter on Alternative Trading Systems

In connection with these new requirements, the Commission is proposing to amend Rule of Regulation NMS to include a number of newly defined terms which are used in the proposed amendments to Rule Morgan's corporate and investment bank, Redfearn suggested that cryptocurrency exchanges would do well to implement features like best execution , the legal requirement for brokers to offer their customers the "most favorable terms" available on their trades, and market surveillance. Identify how each of the ATS's order types are marketed to Subscribers and include any corresponding materials used in such marketing. Since exchanges will be making an effort to comply with regulators and the rules of operating an ATS, they may become more selective in which tokens they list. Read about the impact of government regulation on the utilities sector, particularly as is pertains to the water and electricity State whether the ATS uses any third-party to provide technology or operational support that may have access to Subscriber order or trade information.

An alternative trading system (ATS) is one that is not regulated as an exchange but is a venue for matching the buy and sell orders of its subscribers.

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68 rows · An ATS is a trading system that meets the definition of “exchange” under federal securities . Alternative trading system (ATS) is a US and Canadian regulatory term for a non-exchange trading venue that matches buyers and sellers to find counterparties for transactions. Alternative trading systems are typically regulated as broker-dealers rather than as exchanges (although an alternative trading system can apply to be regulated as a securities exchange). Alternative Trading Systems May As you are aware, the Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm).