Regulatory Notice 09-46

FINRA Reminds Alternative Trading Systems of Their Reporting Obligations

Executive Summary

This Notice reminds firms that are alternative trading systems or operate alternative trading systems that, in addition to filing all reports required by Regulation ATS with the Securities and Exchange Commission, they also must simultaneously file duplicate copies of most such reports with FINRA. Firms may submit these reports to FINRA either in hard copy via U.S. mail or electronically to atsfilings@finra.org.

 

Questions concerning this Notice should be directed to Seth Levy, Department of Market Regulation, at (240) 386-5483.