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SEC Adopts New Disclosure Regime for NMS Stock ATSs

USA - August 1 2018 On July 18, the U.S. Securities and Exchange Commission (SEC) voted unanimously to adopt amendments to Regulation ATS1 that would require alternative...

James Brigagliano, Michael D. Wolk.


U.S. Treasury Department Outlines Regulatory Initiatives Related to Equity Market Structure

USA - October 26 2017 On October 6, 2017, the Department of the Treasury (Treasury) released a report describing potential policy proposals for U.S. capital markets...

Andrew J. Sioson, James Brigagliano, Michael D. Wolk, Timothy B. Nagy.


IEX Begins Operation as an Exchange Following Interpretive Guidance Adopted by the SEC

USA - September 6 2016 On September 2, 2016, the Investors' Exchange, LLC (IEX) commenced full operations as a registered national securities exchange. After receiving over...

Kevin J. Campion, James Brigagliano.


SEC Proposes Rules to Enhance Order Handling Information Available to Investors

USA - August 8 2016 On July 13, 2016, the U.S. Securities and Exchange Commission (SEC) voted unanimously to propose amendments to Rule 606 of Regulation NMS to enhance...

James Brigagliano, Andrew P. Blake, Michael D. Wolk, Mark Borrelli.


SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers

USA - May 16 2016 On February 18, the U.S. Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC) (collectively, the Agencies)...

Alex R. Rovira, Andrew P. Blake, Robert J. Robinson.