30 Jan 2025
📄SEC Compliance Overview for Regulation ATS Rule 303
Submission for OMB Review; Comment Request; Extension: Rule 303 of Regulation ATS
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The text outlines compliance requirements under Rule 303 of Regulation ATS, emphasizing record preservation for alternative trading systems (ATSs). This poses regulatory burdens for businesses operating as ATSs, impacting operational processes and resource allocation. Failure to comply could lead to legal consequences and affect market integrity.