Regulatory Notice 15-03
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
FINRA is soliciting comment on a proposal to require alternative trading systems (ATSs) to submit quotation information relating to corporate and agency debt securities to FINRA solely for regulatory purposes. The proposed rule text is attached as Appendix A.
Questions regarding this Notice should be directed to
- Patrick Geraghty, Vice President, Quality of Markets, at (240) 386-4973;
- Ola Persson, Vice President, Transparency Services (TS), at (212) 858-4796;
- Elliot Levine, Associate Vice President and Counsel, TS, at (202) 728-8405;
- Lisa Horrigan, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8190; or
- Alex Ellenberg, Assistant General Counsel, OGC, at (202) 728-8152.