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Get Form Ats R
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How to fill out the Form ATS R online
Filling out the Form ATS-R online can be straightforward and efficient with the right guidance. This document serves as a comprehensive guide to assist users in navigating the various fields and sections of the form, ensuring accurate submission.
Follow the steps to complete the Form ATS R online.
- Click ‘Get Form’ button to obtain the form and open it for editing.
- Provide the alternative trading system's exact name, principal business address, mailing address, and telephone number in the designated fields.
- Enter the CRD number and SEC file number linked to the alternative trading system in the appropriate sections.
- If applicable, indicate any name changes made by entering the previous name and clarifying whether it's the trading system name or business name.
- Attach Exhibit A, listing all subscribers who participated in the alternative trading system during the reporting period.
- Attach Exhibit B, including a list of all securities traded on the alternative trading system during the reporting period.
- Complete the execution section by providing a signature, printed name, and title of the individual authorized to submit the form.
- Fill out the total unit and dollar volume of transactions for each securities category in the specified sections.
- Attach Exhibit C, which records access changes for individuals in the alternative trading system during the reporting period.
- Finally, review all entries for accuracy before saving changes. You can download, print, or share the form as necessary.
Complete and submit your Form ATS R online today to ensure compliance.
[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 ...
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