Tagged: ats

December 2, 2024 @ 9:31 am By Tony Zerucha  |  

2025 is shaping up to be a busy year for digital securities via blockchain, and tZERO says it is well-positioned to contribute to the growth of a unique method of providing primary raises, recapitalizations, and secondary trading. Senior Director of Business and Capital Development Ryan Zega… Read More

November 30, 2024 @ 9:37 am By JD Alois  |  

OpenYield announced additional funding of $7 million last week. The capital infusion will be used to further its ambition to provide an equity-like trading platform for bonds as it seeks to modernize the market. OpenYield operates an Alternative Trading System (ATS), a regulated marketplace that… Read More

August 9, 2024 @ 2:19 pm By JD Alois  |  

Plural Energy is a new entrant in the online capital formation sector. The company aims to help renewable or green firms raise debt capital to finance projects. Plural aims to leverage the full stack of securities exemptions, including Reg CF, Reg A+, and Reg D…. Read More

August 7, 2024 @ 10:44 am By Nick Morgan  |  

Unlocking Capital Markets with Tokenization and ATS: An Interview with Brian Anderson, CEO of Raze Finance In the most recent episode of Capital Ideas, Nick Morgan and Dara Albright, board members of Investor Choice Advocates Network (ICAN), hosted Brian Anderson, CEO of Raze Finance. The… Read More

January 1, 2024 @ 6:28 pm By Omar Faridi  |  

Cboe Canada announced receipt of all necessary approvals to formally unify its Canadian operations by bringing together the NEO Exchange and the MATCHNow alternative trading system (ATS), along with other related Canadian regulated entities, “into one corporate entity under the umbrella of Cboe Canada, effective… Read More

September 20, 2023 @ 7:49 pm By Omar Faridi  |  

The INX Digital Company, Inc., a US-regulated broker-dealer, ATS, and transfer agent, announced the official launch of Nabatech, the joint venture created in partnership with SICPA, a global figure in authentication and secure traceability solutions. Nabatech is a direct result of INX and SICPA’s collaboration… Read More

June 13, 2023 @ 5:16 pm By JD Alois  |  

In a bit of a stealth rulemaking attempt, the Securities and Exchange Commission (SEC) has proposed new rules that would impact the definition of an exchange. The amendments regarding the definition would also impact Alternative Trading Systems (ATSs).  As the SEC deems all digital assets… Read More

May 12, 2023 @ 5:11 pm By JD Alois  |  

Earlier this week, during its earnings call, OTC Markets (OTC:OTCM) revealed that on May 5th, it had received FINRA approval to provide services for digital assets which are securities. In the May 9th earnings report, R. Cromwell Coulson, President and CEO of OTC Markets, stated:… Read More

April 10, 2023 @ 4:13 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has scheduled an open meeting for April 14, 2023, to consider reopening the comment period of the proposed changes. The SEC proposed amendments to Rule 3b-16 under the Exchange Act Regarding the Definition of “Exchange,” which could potentially impact… Read More

February 14, 2023 @ 8:30 am By JD Alois  |  

tZERO, perhaps best known for pursuing a digital asset marketplace for regulated securities as well as certain cryptocurrencies, is going all in on digital securities. First, as was recently reported, tZERO is no longer pursuing crypto trading. This is probably a savvy move in the… Read More

January 28, 2023 @ 7:46 am By JD Alois  |  

Silicon Prairie has been approved to operate an Alternative Trading System (ATS). An ATS is similar to a securities exchange but with different regulatory requirements. An entity must first be approved as a broker-dealer before applying to become an ATS. This will enable Silicon Prairie… Read More

November 12, 2022 @ 4:27 pm By Omar Faridi  |  

Hash Blockchain Limited, a member of the HashKey Group, a digital asset financial services group in Asia, has “received approval” from the Securities and Futures Commission of Hong Kong (SFC) in order “to operate a virtual asset trading platform, under a Type 1 (dealing in… Read More

October 26, 2022 @ 9:00 am By JD Alois  |  

Prometheum Ember ATS has announced a FINRA and SEC-regulated trading platform that will aim to provide liquidity for “digital asset securities.” Prometheum has received approval to operate an ATS or Alternative Trading System. Before operating an ATS, a platform must be an approved as a… Read More

October 6, 2022 @ 11:07 am By Omar Faridi  |  

Global network and Infrastructure-as-a-Service pioneer Transaction Network Services (TNS) announced a partnership with Blue Ocean Technologies (BOT), owner and operator of the Blue Ocean ATS, a global alternative trading system (ATS) that “operates from 8pm to 4am EDT.” Blue Ocean ATS will “leverage TNS’ robust… Read More

July 20, 2022 @ 12:11 pm By JD Alois  |  

The INX Digital Company (NEO: INXD) will enable an online funding round for Trucpal, a blockchain-based SaaS platform serving the Chinese freight market. The digital security offering will commence next week with the token, then trading on the INX marketplace, a regulated alternative trading system… Read More

May 21, 2022 @ 1:21 pm By JD Alois  |  

Inveniam Capital Partners has invested in Rialto Markets and will support the platform with its private market data, according to a release. Details on the investment were not provided. Rialto Markets is a broker-dealer facilitating crowdfunded securities as well as secondary trading in these assets…. Read More

May 9, 2022 @ 11:58 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has extended the comment period on proposed ESG rules that may compel public firms to disclose their climate risks and impact on the environment. The SEC has received broad criticism in regards to the rushed nature of the rulemaking… Read More

April 26, 2022 @ 8:08 pm By JD Alois  |  

As was noted last week, this past January the Securities and Exchange Commission (SEC) proposed amendments to the Exchange Act and the definition of an Exchange as well as Regulation ATS (Alternative Trading System). While described in relatively benign terms, the language of the proposed… Read More

April 20, 2022 @ 6:00 pm By JD Alois  |  

In late January, the Securities and Exchange Commission (SEC) proposed amendments to the Exchange Act and the definition of an Exchange as well as Regulation ATS (Alternative Trading System). The proposal was opened to comments with a deadline of this week (April 18). The SEC… Read More

March 22, 2022 @ 10:14 am By JD Alois  |  

Forge Global begins trading on the New York Stock Exchange (NYSE) today under the ticker FRGE. The public listing is following the completion of a SPAC deal with Motive Capital Corp. Financial Technology Partners and FTP Securities (FT Partners) served as financial advisors to Forge… Read More