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Equities Form ATS Barclays LX Filed March 1, 2013 Date I (MM/DD!YY): WASHINGTON, D.C. 20549 INITIAL OPERATION REPORT, AMENDMENT TO INITIAL OPERATION REPORT AND , CESSATION OF OPERATIONS REPORT FOR.

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How to fill out the Form ATS Barclays LX online

This guide provides a clear and comprehensive overview of the Form ATS Barclays LX, ensuring that users can effectively complete the form online. By following the steps outlined below, individuals will be equipped to navigate each section with confidence.

Follow the steps to fill out the Form ATS Barclays LX online

  1. Click ‘Get Form’ button to obtain the form and open it in the editor.
  2. Begin by entering the date in the required format (MM/DD/YYYY) in the designated field labeled 'Date I.'
  3. In Section 1, provide the exact name of the alternative trading system as well as the principal business address, mailing address, and telephone number. If the system operates under different names, include those as well.
  4. Complete the CRD Number and SEC File Number fields with the appropriate identifying information for the alternative trading system.
  5. If applicable, indicate any name changes on behalf of the alternative trading system by specifying the previous name.
  6. List the main street address and mailing address of the alternative trading system. Ensure that addresses are complete and do not use P.O. Box details.
  7. Provide the business telephone and facsimile number in their respective fields.
  8. Identify the contact employee for correspondence related to civil actions and proceedings by entering the required information.
  9. After completing the necessary information in the execution section, ensure the form is signed and dated appropriately by an authorized representative of the alternative trading system.
  10. Finally, review the entire form for accuracy, save changes, and download or print a copy for your records. If required, you may share the form through the designated channels.

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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.

Specifically, Regulation ATS requires that every ATS must (i) register with the SEC as a broker-dealer, (ii) become a member of a self-regulatory organization (SRO), such as FINRA, (iii) file an extensive initial operating report (Form ATS) and (iv) have an ongoing compliance program to maintain the ATS and broker- ...

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.

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.

Alternative Trading Systems – Examples. Some examples of ATS include electronic communication networks, dark pools, crossing networks, and call markets.

An ATS, although technically an exchange, is regulated as a broker-dealer, and must be registered as such with the SEC and a FINRA member.

1. 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. 2.

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