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FACT SHEET Investor Protections in Communication Protocol ...

FACT SHEET Investor Protections in Communication Protocol Systems and ATSs SECURITIES AND EXCHANGE COMMISSION PAGE 1 OF 2 Why This Matters Trading systems that offer the use of non-firm trading interest and provide protocols to bring together buyers and sellers of securities ( Communication Protocol Systems) have evolved to function similarly to marketplaces operated by registered exchanges and ATSs and have become important venues for bringing together buyers and sellers for various types of securities. Because Communication Protocol Systems do not fall within the definition of exchange and are thus not required to register as exchanges, they are not required to comply with the same federal securities laws and regulations applicable to registered exchanges or ATSs. As a result, market participants who use these systems are not availed to the same Investor protection and fair and orderly market principles that apply to today s registered exchanges and ATSs.

function similarly to marketplaces operated by registered exchanges and ATS s and have become ... that, during at least four of the preceding six calendar months, had: (1) for U.S. Treasury Securities, three percent or more of the average weekly dollar volume traded in …

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