Compliance Services for Alternative Trading Systems (ATS)
Your Partner in ATS Compliance
Operating an ATS comes with high regulatory expectations. We help you meet SEC and FINRA requirements through licensing support, compliance program development, and day-to-day operations tailored to your trading platform.
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Challenges
So Many Rules, Constantly Changing
SEC regulations, Form ATS amendments, FINRA reviews, and growing disclosure demands mean there’s always something new to manage.
High Expectations, Even Without Public Orders
Even if your ATS doesn't display quotes or match public orders, regulators expect thorough supervision, reporting, and access control.
It’s Not Just About Code
Strong systems are essential, but without clear policies, supervision, and regulatory filings, tech alone won’t keep you compliant.
Regulators
Who Regulates Alternative Trading Systems?
Alternative Trading Systems operate under a mix of federal and self-regulatory oversight. The SEC sets the rules through Regulation ATS, while FINRA supervises day-to-day operations. If an ATS facilitates trading in commodities or commodity-based derivatives, oversight from the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) may also apply.
How We Help
Let Us Manage Compliance While You Focus on Growth
Why InnReg
We Know What It Takes to Support an ATS
InnReg has supported more than 100 fintechs over the last decade, including broker-dealers and ATSs with high-growth, high-regulation models. We’re used to helping founders turn new trading ideas into operations with mitigated risks, without overcomplicating the process. We plug into your workflow and give you the support of a full compliance team without the full-time hires.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Resources
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Feb 25, 2026
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Nov 27, 2025
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Nov 16, 2025
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FAQ
