Guidance

2017 Exam Findings Report
Order Capacity
December 06, 2017
Exemptive Letter
Joshua Hershman, Trumid Financial LLC
August 09, 2016
Guidance
William Vulpis, KCG BondPoint
June 09, 2016
Guidance
Michael McGuire, Tradeweb Direct LLC
May 16, 2016
Targeted Examination Letter
Targeted Exam Letter on Alternative Trading Systems
May 01, 2013
Targeted Examination Letter
Targeted Examination Letter on Alternative Trading Systems
September 01, 2012
Guidance
Regulatory Notice 09-46
August 05, 2009
FAQ
Frequently Asked Questions about OTC (ATS & Non-ATS) Transparency
FAQ
Trade Reporting Frequently Asked Questions