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SEC proposes enhancements to disclosure requirements for alternative trading systems

  • SEC document Image

Nov 19, 2015

The SEC has issued a proposed rule that would amend the requirements for alternative trading systems (ATSs) under the Securities Exchange Act of 1934.

Specifically, the proposal would require ATSs that “trade stocks listed on a national securities exchange (NMS stocks), including ‘dark pools,’ to publicly disclose detailed information about the operations and activities of a broker-dealer operator and its affiliates.”

Com­ments on the pro­posed rule are due by February 26, 2016.

For more in­for­ma­tion, see the press release and pro­posed rule on the SEC’s Web site.

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