{"id":1263,"date":"2013-06-05T10:34:01","date_gmt":"2013-06-05T10:34:01","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/06\/finra_headlines_new_atss_sweep"},"modified":"2022-03-10T16:36:41","modified_gmt":"2022-03-10T22:36:41","slug":"finra-headlines-new-atss-sweep","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-headlines-new-atss-sweep\/","title":{"rendered":"FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, &#038; Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG"},"content":{"rendered":"<p>\t\t\t\t<strong>FINRA Issues Sweep Letters About Alternative Trading Systems<\/strong><\/p>\n<p>The Financial Industry Regulatory Authority has put out a new round of sweeps letters asking for more information about its review of alternative trading systems. The SRO&#8217;s Trading Examinations Unit is reviewing the off-exchange trading venues. <\/p>\n<p>FINRA wants firms to provide information about how subscriber order flow is identified within the ATS, whether they are tracking the different kinds of order types in use, and  where the ATSs orders are routed. Sweep letters let the regulator determine how to better focus its exams and discover what new issues may have arisen.  <\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-headlines-new-atss-sweep\/\"  title=\"Continue Reading FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, &#038; Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA Issues Sweep Letters About Alternative Trading Systems The Financial Industry Regulatory Authority has put out a new round of sweeps letters asking for more information about its review of alternative trading systems. The SRO&#8217;s Trading Examinations Unit is reviewing the off-exchange trading venues. FINRA wants firms to provide information about how subscriber order flow [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3798,3739,3886],"tags":[],"class_list":["post-1263","post","type-post","status-publish","format-standard","hentry","category-arbitration","category-finra","category-madoff-ponzi-scheme"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, &amp; Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG &#8212; Investor Lawyers Blog &#8212; June 5, 2013<\/title>\n<meta name=\"description\" content=\"FINRA Issues Sweep Letters About Alternative Trading Systems The Financial Industry Regulatory Authority has put out a new round of sweeps letters asking &#8212; 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Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, & Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG &#8212; Investor Lawyers Blog &#8212; June 5, 2013","description":"FINRA Issues Sweep Letters About Alternative Trading Systems The Financial Industry Regulatory Authority has put out a new round of sweeps letters asking &#8212; June 5, 2013","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/finra-headlines-new-atss-sweep\/","twitter_card":"summary_large_image","twitter_title":"FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, & Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG &#8212; 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