Shedding Light on Dark Pools – The SEC Acts to Increase Transparency and Oversight of Alternative Trading Systems
October 25, 2018
Webinar
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Presented by the Practising Law Institute
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The Practising Law Institute’s (PLI) Shedding Light on Dark Pools program will examine the SEC’s recent vote to adopt new Form ATS-N as well as amendments to Regulation ATS, which are intended to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade exchange-listed stocks (NMS Stock ATSs).
Dechert partner K. Susan Grafton and the other panelists will discuss:
- Alternative trading systems and how they are regulated.
- The disclosure requirements of new Form ATS-N.
- Amendments to Regulation ATS and 1934 Act Rule 3a1-1.
- Pending market structure initiatives.
