StacksVerified U.S. regulatory reference

17 CFR §242.302

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
To comply with the condition set forth in paragraph (b)(8) of § 242.301, an alternative trading system shall make and keep current the following records:
  1. (a)A record of subscribers to such alternative trading system (identifying any affiliations between the alternative trading system and subscribers to the alternative trading system, including common directors, officers, or owners);
  2. (b)Daily summaries of trading in the alternative trading system including:
    1. (1)Securities for which transactions have been executed;
    2. (2)Transaction volume, expressed with respect to equity securities in:
      1. (i)Number of trades;
      2. (ii)Number of shares traded; and
      3. (iii)Total settlement value in terms of U.S. dollars; and
    3. (3)Transaction volume, expressed with respect to debt securities in:
      1. (i)Number of trades; and
      2. (ii)Total U.S. dollar value; and
  3. (c)Time-sequenced records of order information in the alternative trading system, including:
    1. (1)Date and time (expressed in terms of hours, minutes, and seconds) that the order was received;
    2. (2)Identity of the security;
    3. (3)The number of shares, or principal amount of bonds, to which the order applies;
    4. (4)An identification of the order as related to a program trade or an index arbitrage trade as defined in New York Stock Exchange Rule 80A;
    5. (5)The designation of the order as a buy or sell order;
    6. (6)The designation of the order as a short sale order;
    7. (7)The designation of the order as a market order, limit order, stop order, stop limit order, or other type or order;
    8. (8)Any limit or stop price prescribed by the order;
    9. (9)The date on which the order expires and, if the time in force is less than one day, the time when the order expires;
    10. (10)The time limit during which the order is in force;
    11. (11)Any instructions to modify or cancel the order;
    12. (12)The type of account, i.e., retail, wholesale, employee, proprietary, or any other type of account designated by the alternative trading system, for which the order is submitted;
    13. (13)Date and time (expressed in terms of hours, minutes, and seconds) that the order was executed;
    14. (14)Price at which the order was executed;
    15. (15)Size of the order executed (expressed in number of shares or units or principal amount); and
    16. (16)Identity of the parties to the transaction.