Get Form Ats R

The Form ATS-R is a crucial document for alternative trading systems required to report their activities to the Securities and Exchange Commission. This guide provides step-by-step instructions to help users complete this form accurately and efficiently online.

Follow the steps to fill out the Form ATS-R online:

1. Press the ‘Get Form’ button to obtain the Form ATS-R and open it in your document editor.
2. Enter the name of the alternative trading system in the designated field. Ensure that the name is accurate and matches any official registration.
3. Fill in the contact details including the principal business address, mailing address if different, and the telephone number of the alternative trading system.
4. Provide the CRD number and SEC file number accurately in the given sections. This information is crucial for identifying your submission.
5. If there is a name change for the trading system, specify the previous name and indicate whether it pertains to the alternative trading system name or the business name.
6. Attach Exhibit A with a complete list of all subscribers that participated in the alternative trading system during the reporting period.
7. Attach Exhibit B with a list detailing all securities traded on the alternative trading system throughout the reporting period.
8. Complete the execution section, including signatures and dates. Ensure that it is notarized, where applicable.
9. Provide the total unit and dollar volume of transactions for various categories of securities as specified in the form.
10. Once all sections are filled, save your changes. You can download, print, or share the completed Form ATS-R as necessary.

Complete your Form ATS-R online today to ensure compliance with regulatory requirements.