These violations could additionally be more widespread in ATSs than in nationwide exchanges as a result of ATSs face fewer rules. (1) Every Form ATS-N filed pursuant to this part shall represent a “report” within the meaning of sections 11A, 17(a), 18(a), and 32(a) (15 U.S.C. 78k-1, 78q(a), 78r(a), and 78ff(a)), and some other relevant […]
Monthly Archives: October 2023
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