17 CFR 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
(1) Date and time (expressed in terms of hours, minutes, and seconds) that the order was received;
(2) Identity of the security;
(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;
(10) The time limit during which the order is in force;
(11) Any instructions to modify or cancel the order;
(13) Date and time (expressed in terms of hours, minutes, and seconds) that the order was executed;
(16) Identity of the parties to the transaction.
Title 17 published on 2015-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 242 after this date.