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  1. Rules & Guidance
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Rules & Guidance

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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

           

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