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Table of Contents THE REGULATION OF MARKETPLACES AND TRADING Notice of National Instruments, Companion Policies and Forms The . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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010816alternativetradingsystemspdf form regulation is for regulating alternative trading systems.
Any entity operating an alternative trading system is required to file the form.
The form can be filled out online or submitted through the appropriate regulatory agency.
The purpose of the form is to gather information on alternative trading systems to ensure compliance with regulations.
Information such as trading volumes, participants, and compliance measures must be reported on the form.
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