registered exchange

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Registered Exchange

A securities exchange with sufficient trading volume and other activity to require registration with the SEC. Most exchanges about which one hears in the news are registered exchanges. A prominent example is the New York Stock Exchange.

registered exchange

A securities exchange that has filed, and has had accepted, a registration statement with the SEC. All the larger securities exchanges in the United States are registered with the SEC, as required by the Securities Exchange Act of 1934. Compare unregistered exchange.
References in periodicals archive ?
Indeed, an example of this is the proactive approach being taken by Japan, being one of the very first countries to adopt a regulatory framework to oversee trading on registered exchanges.
Companies that list their stocks on these registered exchanges must meet minimum listing standards, like minimum amounts of net assets and minimum numbers of shareholders.
CEA requires all registered exchanges to establish.
registered exchanges must keep a record of "the parties to all
life insurers, among other "financial end-users," are now required to not only trade and clear their interest rate swaps on registered exchanges or clearing houses, but to post larger sums of higher quality collateral, said the report, written by Laura Bazer, Moody's senior credit officer.
It is believed that the move is to adhere to Dodd-Frank rules that would require a large part of the swaps market to be traded over registered exchanges or alternative electronic platforms.
Concern about the increase of trading in dark pools led the Securities and Exchange Commission (SEC), which regulates the US securities markets, to propose a three-point plan on 29 October 2009: lowering the threshold at which alternative trading platforms must display bids and offers to 0.25% of a stock's average daily volume from 0.5%; introducing real-time disclosure of executions by all venues; and bringing reporting in line with registered exchanges.
From the time EDGA Exchange and EDGX Exchange began operating as registered exchanges in 2010 until late 2014 (when they finally updated their rules and obtained Commission approval for the changes), the two exchanges were supposed to be processing orders using a single "displayed price sliding process" according to their rules.
In October 2009, SEC chairman Mary Schapiro outlined a three-pronged approach to reform of dark pools that would: require actionable indications of interest to be subject to the same disclosure rules as all other quotes; lower the threshold at which alternative trading platforms must display bids and offers to 0.25% of a stock's average daily volume from 5%; and mandate real-time disclosure of the identity of dark pools after they execute a trade, bringing reporting in line with registered exchanges. The proposed rules exempt trades that are $200,000 and above.
SFTI Internet VPN includes access to all NYSE Euronext markets, other registered exchanges, alternative trading systems, and a number of non-displayed markets across the industry.
The third proposed rule would require real-time disclosure of the identity of dark pools after they execute a trade, bringing reporting in line with registered exchanges. The identity of the dark pools is presently not disclosed.

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