Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems

OMB 3235-0510

OMB 3235-0510

Rule 302 provides that, as a condition of operating as a broker- dealer, alternative trading systems must keep certain records regarding subscribers to their system, daily trading summaries and time-sequenced records of order information in the alternative trading systems.

The latest form for Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems expires 2022-12-31 and can be found here.


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