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

  1. Regulation ATS - Alternative Trading Systems (§ - )
    Source: Sections 242.300 through 242.303 appear at 63 FR 70921, Dec. 22, 1998, unless otherwise noted.
  2. § 242.300 Definitions.
  3. § 242.301 Requirements for alternative trading systems.
  4. § 242.302 Recordkeeping requirements for alternative trading systems.
  5. § 242.303 Record preservation requirements for alternative trading systems.
  6. § 242.304 NMS Stock ATSs.
  7. Regulation SCI - Systems Compliance and Integrity (§§ 242.1000 - 242.1007)
Authority:
15 U.S.C. 77g, 77q(a), 77s(a), 78b, 78c, 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, and 80a-37.
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.

{'United States Code': [{'Title': '15', 'Section': '77g', 'headtext': ' Information required in registration statement', 'cleanpath': '/uscode/text/15/77g'}, {'Title': '15', 'Section': '77q', 'headtext': ' Fraudulent interstate transactions', 'cleanpath': '/uscode/text/15/77q'}, {'Title': '15', 'Section': '77s', 'headtext': ' Special powers of Commission', 'cleanpath': '/uscode/text/15/77s'}, {'Title': '15', 'Section': '78b', 'headtext': ' Necessity for regulation', 'cleanpath': '/uscode/text/15/78b'}, {'Title': '15', 'Section': '78c', 'headtext': ' Definitions and application', 'cleanpath': '/uscode/text/15/78c'}, {'Title': '15', 'Section': '78g', 'headtext': ' Margin requirements', 'cleanpath': '/uscode/text/15/78g'}, {'Title': '15', 'Section': '78i', 'headtext': ' Manipulation of security prices', 'cleanpath': '/uscode/text/15/78i'}, {'Title': '15', 'Section': '78j', 'headtext': ' Manipulative and deceptive devices', 'cleanpath': '/uscode/text/15/78j'}, {'Title': '15', 'Section': '78k-1', 'headtext': ' National market system for securities; securities information processors', 'cleanpath': '/uscode/text/15/78k-1'}, {'Title': '15', 'Section': '78l', 'headtext': ' Registration requirements for securities', 'cleanpath': '/uscode/text/15/78l'}, {'Title': '15', 'Section': '78m', 'headtext': ' Periodical and other reports', 'cleanpath': '/uscode/text/15/78m'}, {'Title': '15', 'Section': '78n', 'headtext': ' Proxies', 'cleanpath': '/uscode/text/15/78n'}, {'Title': '15', 'Section': '78o', 'headtext': ' Registration and regulation of brokers and dealers', 'cleanpath': '/uscode/text/15/78o'}, {'Title': '15', 'Section': '78q', 'headtext': ' Records and reports', 'cleanpath': '/uscode/text/15/78q'}, {'Title': '15', 'Section': '78w', 'headtext': ' Rules, regulations, and orders; annual reports', 'cleanpath': '/uscode/text/15/78w'}, {'Title': '15', 'Section': '78dd-1', 'headtext': ' Prohibited foreign trade practices by issuers', 'cleanpath': '/uscode/text/15/78dd-1'}, {'Title': '15', 'Section': '78mm', 'headtext': ' General exemptive authority', 'cleanpath': '/uscode/text/15/78mm'}, {'Title': '15', 'Section': '80a-23', 'headtext': ' Closed-end companies', 'cleanpath': '/uscode/text/15/80a-23'}, {'Title': '15', 'Section': '80a-29', 'headtext': ' Reports and financial statements of investment companies and affiliated persons', 'cleanpath': '/uscode/text/15/80a-29'}, {'Title': '15', 'Section': '80a-37', 'headtext': ' Rules, regulations, and orders', 'cleanpath': '/uscode/text/15/80a-37'}], 'Statutes at Large': [], 'Public Laws': [], 'Presidential Documents': []}