Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems

Rule 303 provides that alternative trading systems must preserve certain records for a certain amount of time, including records made pursuant to Rule 302, notices to subscribers, certain documents relating to compliance with the fair access and capacity, integrity and security requriements set forth in Rule 301, and organizational documents. The rule describes how such records must be maintained, what entities may perform this function, and how long records must be preserved. The Commission is amending the rule to require additional records maintenance in connection with other amendments to Regulation ATS.

The latest form for Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems expires 2021-09-30 and can be found here.

Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight