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AUTOMATED MATCHING SYSTEMS EXCHANGE, LLC v. US SEC

Nos. 14-3698, 15-2448.

826 F.3d 1017 (2016)

AUTOMATED MATCHING SYSTEMS EXCHANGE, LLC, Plaintiff-Appellant, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION; Stephen Luparello, in his official capacity as Director of the Division of Trading and Markets, Defendants-Appellees. Automated Matching Systems Exchange, LLC, Petitioner v. United States Securities and Exchange Commission; Stephen Luparello, in his official capacity as Director of the Division of Trading and Markets, Respondents.

United States Court of Appeals, Eighth Circuit.

Filed: June 20, 2016.

Attorney(s) appearing for the Case

Counsel who presented argument on behalf of the appellant was Michael Andrew Stegawski , of Sioux Falls, SD. The following attorney also appeared on the appellant brief; Richard F Rahn , of Sioux Falls, SD.

Counsel who presented argument on behalf of the appellee was William Kenneth Shirey , SEC, of Washington, DC. The following attorney also appeared on the appellee brief; Paul G. Alvarez , SEC, of Washington, DC.

Before SHEPHERD, BEAM, and KELLY, Circuit Judges.

Automated Matching Systems Exchange, LLC ("AMSE") appeals a final agency order by the Securities and Exchange Commission ("the Commission"), denying AMSE's application for a limited volume exemption from registration as a national securities exchange under § 5 of the Securities Exchange Act of 1934 ("the Act"), 15 U...

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