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Rule 301 -- Requirements for Alternative Trading Systems (Site not responding. Last check: 2007-11-05) |
 | | The alternative trading system shall file an initial operation report on Form ATS, in accordance with the instructions therein, at least 20 days prior to commencing operation as an alternative trading system, or if the alternative trading system is operating as of April 21, 1999, no later than May 11, 1999. |
 | | The alternative trading system shall permit the examination and inspection of its premises, systems, and records, and cooperate with the examination, inspection, or investigation of subscribers, whether such examination is being conducted by the Commission or by a self-regulatory organization of which such subscriber is a member. |
 | | The alternative trading system shall adopt and implement adequate oversight procedures to ensure that the safeguards and procedures established pursuant to paragraph (b)(10)(i) of this section are followed. |
| www.law.uc.edu /CCL/regM/rule301.html (1806 words) |
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