17 CFR 242.302 - Recordkeeping requirements for alternative trading systems.

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There is 1 rule appearing in the Federal Register for 17 CFR 242. View below or at eCFR (GPOAccess)
§ 242.302 Recordkeeping requirements for alternative trading systems.
To comply with the condition set forth in paragraph (b)(8) of § 242.301, an alternative trading system shall make and keep current the following records:
(a) A record of subscribers to such alternative trading system (identifying any affiliations between the alternative trading system and subscribers to the alternative trading system, including common directors, officers, or owners);
(b) Daily summaries of trading in the alternative trading system including:
(1) Securities for which transactions have been executed;
(2) Transaction volume, expressed with respect to equity securities in:
(i) Number of trades;
(ii) Number of shares traded; and
(iii) Total settlement value in terms of U.S. dollars; and
(3) Transaction volume, expressed with respect to debt securities in:
(i) Number of trades; and
(ii) Total U.S. dollar value; and
(c) Time-sequenced records of order information in the alternative trading system, including:
(1) Date and time (expressed in terms of hours, minutes, and seconds) that the order was received;
(2) Identity of the security;
(3) The number of shares, or principal amount of bonds, to which the order applies;
(4) An identification of the order as related to a program trade or an index arbitrage trade as defined in New York Stock Exchange Rule 80A;
(5) The designation of the order as a buy or sell order;
(6) The designation of the order as a short sale order;
(7) The designation of the order as a market order, limit order, stop order, stop limit order, or other type or order;
(8) Any limit or stop price prescribed by the order;
(9) The date on which the order expires and, if the time in force is less than one day, the time when the order expires;
(10) The time limit during which the order is in force;
(11) Any instructions to modify or cancel the order;
(12) The type of account, i.e., retail, wholesale, employee, proprietary, or any other type of account designated by the alternative trading system, for which the order is submitted;
(13) Date and time (expressed in terms of hours, minutes, and seconds) that the order was executed;
(14) Price at which the order was executed;
(15) Size of the order executed (expressed in number of shares or units or principal amount); and
(16) Identity of the parties to the transaction.

Title 17 published on 2013-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2013-07-24; vol. 78 # 142 - Wednesday, July 24, 2013
    1. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rules.
      The final rule and form amendments are effective on September 23, 2013.
      17 CFR Parts 230, 239 and 242

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 242 after this date.

  • 2013-07-24; vol. 78 # 142 - Wednesday, July 24, 2013
    1. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rules.
      The final rule and form amendments are effective on September 23, 2013.
      17 CFR Parts 230, 239 and 242