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Form ATS-R Quarterly Report Of Alternative Trading System Activities (SEC2551) ATS-R - Official Federal Forms
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Form ATS-R OMB APPROVAL OMB Number: . . . . . 3235-0509 Expires: February 28, 2014 Estimated average burden hours per response. . . . . . . . 3.5 QUARTERLY REPORT OF ALTERNATIVE TRADING SYSTEM ACTIVITIES FORM ATS-R INSTRUCTIONS SEC2551 (06-09) American LegalNet, Inc. www.FormsWorkFlow.com A. GENERAL INSTRUCTIONS 1. FormATS-RmustbefiledbyalternativetradingsystemssubjecttoRegulationATSwithin30daysaftertheendofeach calendarquarter,ormorefrequentlyuponrequestoftheSecuritiesandExchangeCommission("SEC"or"Commission"). ThisFormshouldbepreparedasofthelastdayofeachcalendarquarter. 2. WHEN TO FILE A FORM ATS-R -FileFormATS-Rwithin30calendardaysaftertheendofeachcalendarquarterin whichthealternativetradingsystemhasoperatedaftertheeffectivedateofRegulationATS.AlsofileFormATS-R within10calendardaysafteranalternativetradingsystemceasestooperate. 3. CONTACT EMPLOYEE -Theindividuallistedonpage1asthecontactemployeemustbeauthorizedtoreceiveall contactinformation,communicationsandmailingsandberesponsiblefordisseminatingthatinformationwithinthe alternativetradingsystem'sorganization. 4. FORMAT · AttachtheExecutionPage(Page1)witheveryfilingofFormATS-R. · Pleasetypeallinformation. · Besuretonotethealternativetradingsystemname,CRDnumber,SECfilenumber,andreportperioddateson eachpage. · UseonlythecurrentversionofFormATS-Rorareproduction. 5. WHERE TO FILE AND NUMBER OF COPIES -SubmitoneoriginalandtwocopiesofFormATS-Rto:SEC,Divisionof MarketRegulation,450FifthStreet,N.W.,WashingtonD.C.20549-1002. 6. RECORDKEEPING - A copy of this Form ATS-R, as well as the forms filed with the SEC, must be retained by the alternativetradingsystemandmadeavailableforinspectionuponrequestoftheSEC. 7. PAPERWORK REDUCTION ACT DISCLOSURE · Form ATS-R requires an alternative trading system subject to Regulation ATS to provide the Commission with quarterlyreportsregardingtradingactivities. · Anagencymaynotconductorsponsor,andapersonisnotrequiredtorespondto,acollectionofinformationunless itdisplaysacurrentlyvalidcontrolnumber.Sections3(b),11A(a),11A(c),15(c),17(a),23(a)and36(a)authorizethe CommissiontocollectinformationonthisFormATSfromalternativetradingsystemsthataresubjecttoRegulation ATS. See15U.S.C.§§78c(b),78k-1(a),78k-1(c),78o(c),78q(a),78w(a)and78mm(a). AnymemberofthepublicmaydirecttotheCommissionanycommentsconcerningtheaccuracyoftheburden estimateonthefacingpageofFormATS-Randanysuggestionsforreducingthisburden. Form ATS-R is designed to enable the Commission to more effectively track the growth and development of alternative trading systems, as well as to more effectively comply with its statutory obligations with respect to alternativetradingsystemsandimproveinvestorprotection. Itisestimatedthatanalternativetradingsystemwillspendapproximately3.5hourscompletingFormATS-R. ItismandatorythatanalternativetradingsystemsubjecttoRegulationATSfilequarterlyreportsonFormATS-R withtheCommission. AllreportsprovidedtotheCommissiononFormATS-Raredeemedconfidentialandwillbeavailableonlytothe examinationofCommissionstaff,statesecuritiesauthoritiesandtheself-regulatoryorganizations.Subjecttothe provisionsoftheFreedomofInformationAct,5U.S.C.522("FOIA")andtheCommission'srulesthereunder(17CFR 200.80(b)(4)(iii)),theCommissiondoesnotgenerallypublishormakeavailableinformationcontainedinanyreports, summaries,analyses,letters,ormemorandaarisingoutof,inanticipationof,orinconnectionwithanexamination orinspectionofthebooksandrecordsofanypersonoranyotherinvestigation. ThiscollectionofinformationhasbeenreviewedbytheOfficeofManagementandBudget("OMB")inaccordance withtheclearancerequirementsof44U.S.C.§3507.TheapplicablePrivacyActsystemofrecordsisSEC-2and theroutineusesoftherecordsaresetforthat40FR39255(August27,1975)and41FR5318(February5,1976). · · · · · · 8. Onlythosealternativetradingsystemssubjecttothefairaccessobligationsunder§242.301(b)(5)arerequiredtorespond toquestion7onFormATS-R. 2 American LegalNet, Inc. www.FormsWorkFlow.com FORM ATS-R INSTRUCTIONS B. EXPLANATION OF TERMS ALTERNATIVE TRADING SYSTEM-Shallmeananyorganization,association,person,groupofpersons,orsystem(1)that constitutes,maintains,orprovidesamarketplaceorfacilitiesforbringingtogetherpurchasersandsellersofsecurities orforotherwiseperformingwithrespecttosecuritiesthefunctionscommonlyperformedbyastockexchangewithinthe meaningofRule3b-16undertheExchangeAct;and(2)thatdoesnot(i)setrulesgoverningtheconductofsubscribers otherthantheconductofsuchsubscribers'tradingonsuchorganization,association,person,groupofpersons,orsystem, or(ii)disciplinesubscribersotherthanbyexclusionfromtrading. CORPORATE DEBT SECURITIES-Shallmeananysecuritythat:(1)evidencesaliabilityoftheissuerofsuchsecurity;(2) hasafixedmaturitydatethatisatleastoneyearfollowingthedateofissuanceand;(3)isnotanexemptedsecurity,as definedin§3(a)(12)oftheAct(15U.S.C.78o). DEBT SECURITIES-Shallmeananysecurityotherthananequitysecurity,asdefinedin§240.3a11-1. EQUITY SECURITIES-Shallhavethesamemeaningasin§240.3a11-1. GOVERNMENT SECURITIES-ShallhavethesamemeaningasinExchangeActSection3(a)(42),includingthoseinstruments inparagraph(D)of§3(a)(42)oftheExchangeAct. LISTED EQUITY SECURITIES-Shallmeananyequitysecuritiesthatarelistedandregistered,oradmittedtounlisted tradingprivileges,onanationalsecuritiesexchange. LISTED OPTIONS-Shallmeananyoptionstradedonaregisterednationalsecuritiesexchangeorautomatedfacilityofa registerednationalsecuritiesassociation. MORTGAGE RELATED SECURITIES-ShallhavethesamemeaningasinExchangeActSection3(a)(41). MUNICIPAL SECURITIES-ShallhavethesamemeaningasinExchangeActSection3(a)(29). NASDAQ NATIONAL MARKET SECURITIES-ShallmeananysecuritiesdesignatedasNasdaqNationalMarketSecurities byTheNasdaqStockMarket. NASDAQ SMALLCAP MARKET SECURITIES-ShallmeananysecuritiesdesignatedasNasdaqSmallCapMarketSecurities byTheNasdaqStockMarket. PENNY STOCK-ShallhavethesamemeaningasinExchangeActSection3(a)(51). SUBSCRIBER-Shallmeananypersonthathasenteredintoacontractualagreementwithanalternativetradingsystemto accesssuchalternativetradingsystemforthepurposeofeffectingtransactionsinsecuritiesortosubmit,disseminate,or displayordersonsuchalternativetradingsystem,includingacustomer,member,user,orparticipantinanalternativetrading system.Asubscriber,however,shallnotincludeanationalsecuritiesexchangeornationalsecuritiesassociation. UNLISTED OPTIONS-Shallmeananyoptionsotherthanthosetradedonaregisterednationalsecuritiesexchangeor automatedfacilityofaregisterednationalsecuritiesassociation. 3 American LegalNet, Inc. www.FormsWorkFlow.com Form ATS-R Pa
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