ATS Transparency – Phase 1

Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements. On this free conference call and WebEx (focusing on equities only), FINRA staff:

• provide an overview of the rule;
• describe the Phase I reporting period and Phase II MPID requirement;
• review factors that firms will have to consider in reporting ATS equity trades and volumes;
• identify the required forms and available documentation;
• answer questions regarding reporting scenarios;
• briefly describe the data publication format; and
• provide contact information for follow-up questions.

Register Now

Complete the online registration form. A confirmation email will be sent after your registration has been processed.

Register for the On-Demand WebEx Presentation

For registration or technical questions call (800) 321-6273.