The Financial Industry Regulatory Authority has issued Regulatory Notice 09-46 reminding alternative trading system firms or firms operating alternative trading systems that in addition to filing reports with the Securities and Exchange Commission as required by Regulation ATS of the Securities Exchange Act of 1934, as amended, they must simultaneously file duplicate copies of most of these reports with FINRA. Rule 301(b)(2) of Regulation ATS requires alternative trading systems to file an initial operation report, necessary amendments and cessation of operations reports on Form ATS within specified time frames.

Click here to read FINRA Regulatory Notice 09-46.