Guidance 2017 Exam Findings ReportOrder CapacityDecember 06, 2017 Exemptive LetterJoshua Hershman, Trumid Financial LLCAugust 09, 2016 GuidanceWilliam Vulpis, KCG BondPointJune 09, 2016 GuidanceMichael McGuire, Tradeweb Direct LLCMay 16, 2016 Targeted Examination LetterTargeted Exam Letter on Alternative Trading SystemsMay 01, 2013 Targeted Examination LetterTargeted Examination Letter on Alternative Trading SystemsSeptember 01, 2012 GuidanceRegulatory Notice 09-46August 05, 2009 FAQFrequently Asked Questions about OTC (ATS & Non-ATS) Transparency FAQTrade Reporting Frequently Asked Questions