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6. RECORDKEEPING - A copy of this Form ATS-R as well as the forms filed with the SEC must be retained by the 7. Use only the current version of Form ATS-R or a reproduction. 5. WHERE TO FILE AND NUMBER OF COPIES - Submit one original and two copies of Form ATS-R to SEC Division of Market Regulation 450 Fifth Street N.W. Washington D.C. 20549-1002. FORMAT Attach the Execution Page Page 1 with every filing of Form ATS-R. Please type all information.

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[2] Rule 300(a) of Regulation ATS provides that an ATS is “any organization, association, person, group of persons, or system: (1) [t]hat constitutes, maintains, or provides a market place or facilities for bringing together purchasers and sellers of securities or for otherwise performing with respect to securities the ...

Alternative Trading Systems (ATSs) That means ATSs, like exchanges, bring together multiple buyers and sellers. But unlike exchanges, ATSs do not have members (an ATS has "subscribers") nor do they take on regulatory responsibilities.

Regulation ATS was originally adopted in 1998 by the SEC to provide an ATS framework and basic investor protections. The SEC approved an amendment to Regulation ATS in July 2018. Its purpose was to provide more operational transparency of ATS platforms and regulatory oversights.

Form ATS is the form an alternative trading system must file to notify the Securities and Exchange Commission (“SEC” or “Commission”) of its activities pursuant to Regulation ATS, § 242.300 et seq.

Rule 301(b)(2) of Regulation ATS requires an ATS to file information with the Commission about its operations, such as its order entry procedures, how it displays orders and quotes, and the role of any entity involved in its operations, and to maintain the accuracy of those disclosures.

Rule 304 of Regulation ATS requires alternative trading systems (“ATSs”) that trade NMS stocks (“NMS Stock ATSs”) to publicly file with the Commission an initial Form ATS-N, amendments to initial Form ATS-N, and notices of cessations of operations.

Amendments to Rule 301(b)(10) will require that all ATSs subject to Regulation ATS reduce to writing the safeguards and procedures that limit access to the confidential trading information of ATS subscribers, as well as their oversight procedures to ensure that these safeguards and procedures are followed.

Rule 301(b)(2) of Regulation ATS requires an ATS to file information with the Commission about its operations, such as its order entry procedures, how it displays orders and quotes, and the role of any entity involved in its operations, and to maintain the accuracy of those disclosures.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232