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April 18, 2014

NYSE Eliminates Certain Equities Account Type Indicators

The New York Stock Exchange LLC and NYSE MKT LLC have eliminated certain equities Account Type Indicators (ATIs). As of October 15, 2012, member organizations were no longer required to use the eliminated ATIs. The exchanges have provided information regarding functional ATIs and related definitions, as well as updated order capacity codes and a guide to certain OATS reporting issues (Attachments). After February 1, 2013, member organizations must stop using the eliminated ATIs and must use only the functional ATIs.

NYSE Information Memo 12-25 is available here. Attachments to Information Memo 12-25 are available here.

©2014 Katten Muchin Rosenman LLP

About the Author

James D. Van De Graaff, Katten Muchin Law Firm, Financial Institutions Attorney
Partner

James D. Van De Graaff primarily represents broker-dealers, investment banks and market-making firms in the regulatory aspects of their business. He has more than 20 years of experience representing financial services clients in compliance reviews and training, mergers and acquisitions and responding to inquiries or investigations involving the US Securities and Exchange Commission (SEC) and securities self-regulatory organizations.

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About the Author

Staff Attorney

Tanja Samardzija concentrates her practice in financial services. Ms. Samardzija began her legal career as a litigator before embarking on a career in market regulation at the Chicago Board Options Exchange (CBOE). Ms. Samardzija’s work at the CBOE has familiarized her with a wide variety of regulatory matters including exchange and SEC investigations; compliance issues related to registrations, market making and options order handling; and risk management controls and supervisory procedures for brokers or dealers with market access. In addition to being thoroughly involved in...

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