17 CFR Part 242 - REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES

  3. Regulation ATS—Alternative Trading Systems (§ - )
    Source: Sections 242.300 through 242.303 appear at 63 FR 70921, Dec. 22, 1998, unless otherwise noted.
  4. § 242.300 Definitions.
  5. § 242.301 Requirements for alternative trading systems.
  6. § 242.302 Recordkeeping requirements for alternative trading systems.
  7. § 242.303 Record preservation requirements for alternative trading systems.
  8. § 242.304 NMS Stock ATSs.
  12. Regulation SE—Registration and Regulation of Security-Based Swap Execution Facilities (§§ 242.800 - 242.835)
    1. § 242.800 Scope.
    2. § 242.801 Applicable provisions.
    3. § 242.802 Definitions.
    4. § 242.803 Requirements and procedures for registration.
    5. § 242.804 Listing products for trading by certification.
    6. § 242.805 Voluntary submission of new products for Commission review and approval.
    7. § 242.806 Voluntary submission of rules for Commission review and approval.
    8. § 242.807 Self-certification of rules.
    9. § 242.808 Availability of public information.
    10. § 242.809 Staying of certification and tolling of review period pending jurisdictional determination.
    11. § 242.810 Product filings by security-based swap execution facilities that are not yet registered and by dormant security-based swap execution facilities.
    12. § 242.811 Information relating to security-based swap execution facility compliance.
    13. § 242.812 Enforceability.
    14. § 242.813 Prohibited use of data collected for regulatory purposes.
    15. § 242.814 Entity operating both a national securities exchange and security-based swap execution facility.
    16. § 242.815 Methods of execution for Required and Permitted Transactions.
    17. § 242.816 Trade execution requirement and exemptions therefrom.
    18. § 242.817 Trade execution compliance schedule.
    19. § 242.818 Core Principle 1—Compliance with core principles.
    20. § 242.819 Core Principle 2—Compliance with rules.
    21. § 242.820 Core Principle 3—Security-based swaps not readily susceptible to manipulation.
    22. § 242.821 Core Principle 4—Monitoring of trading and trade processing.
    23. § 242.822 Core Principle 5—Ability to obtain information.
    24. § 242.823 Core Principle 6—Financial integrity of transactions.
    25. § 242.824 Core Principle 7—Emergency authority.
    26. § 242.825 Core Principle 8—Timely publication of trading information.
    27. § 242.826 Core Principle 9—Recordkeeping and reporting.
    28. § 242.827 Core Principle 10—Antitrust considerations.
    29. § 242.828 Core Principle 11—Conflicts of interest.
    30. § 242.829 Core Principle 12—Financial resources.
    31. § 242.830 Core Principle 13—System safeguards.
    32. § 242.831 Core Principle 14—Designation of chief compliance officer.
    33. § 242.832 Application of the trade execution requirement to cross-border security-based swap transactions.
    34. § 242.833 Cross-border exemptions.
    35. § 242.834 Mitigation of conflicts of interest of security-based swap execution facilities and certain exchanges.
    36. § 242.835 Notice to Commission by security-based swap execution facility of final disciplinary action or denial or limitation of access.
    Source: 88 FR 87285, Dec. 15, 2023, unless otherwise noted.
  14. Regulation SCI—Systems Compliance and Integrity (§§ 242.1000 - 242.1007)
Authority:
15 U.S.C. 77g, 77q(a), 77s(a), 78b, 78c, 78c-4, 78g(c)(2), 78i(a), 78j, 78k-1(c), 78l, 78m, 78n, 78o(b), 78o(c), 78o(g), 78q(a), 78q(b), 78q(h), 78w(a), 78dd-1, 78mm, 80a-23, 80a-29, 80a-37, and 8343.
Source:
62 FR 544, Jan. 3, 1997, unless otherwise noted.
Preliminary Notes

1. An alternative trading system is required to comply with the requirements in this Regulation ATS, unless such alternative trading system:

(a) Is registered as a national securities exchange;

(b) Is exempt from registration as a national securities exchange based on the limited volume of transactions effected on the alternative trading system; or

(c) Trades only government securities and certain other related instruments.

All alternative trading systems must comply with the antifraud, antimanipulation, and other applicable provisions of the federal securities laws.

2. The requirements imposed upon an alternative trading system by Regulation ATS are in addition to any requirements applicable to broker-dealers registered under section 15 of the Act, (15 U.S.C. 78o).

3. An alternative trading system must comply with any applicable state law relating to the offer or sale of securities or the registration or regulation of persons or entities effecting transactions in securities.

4. The disclosures made pursuant to the provisions of this section are in addition to any other disclosure requirements under the federal securities laws.