Form ATS-N NMS Stock Alternative Trading Systems {ATS-N} | Pdf Fpdf Docx | Official Federal Forms

 Official Federal Forms /  Securities And Exchange Commission /
Form ATS-N NMS Stock Alternative Trading Systems {ATS-N} | Pdf Fpdf Docx | Official Federal Forms

Form ATS-N NMS Stock Alternative Trading Systems {ATS-N}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 1/7/2019

Included Formats to Download
$ 39.99

Description

en-USForm ATS-NNMS Stock Alternative Trading Systems en-USOMB APPROVALOMB Number: 3235-0763Expires: September 30, 2021Estimated average burdenhours per response. . . . . . 127.4Per amendment. . . . . . . . . . 9Per cessation. . . . . . . . . . . . 2 en-USPersons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. en-USen-USUnited States Securities and Exchange CommissionWashington, DC FORM ATS-NIntentional Misstatements or Omissions of Facts May Constitute Criminal ViolationsSee 18 U.S.C.1001 and 15 U.S.C. 78037(a) File No: en-US en-USYes NoType of Filing (select one) en-US en-USPart I: Identifying InformationYes No en-USItem 1: Broker-Dealer Operator Trading Activities on the ATSYesNoYesNocYes NoYes NoYesNoYesNo en-USYesNoYes NoYes NoYes NoYes NoItem 4: Arrangements with Trading CentersYesNoYesNoItem 5: Other Products and Services en-USYes NoYes NoYesNoYes NoItem 6: Activities of Service ProvidersYesNoYesNoYesNo en-USYes NoYesNoYes NoPart III: Manner of OperationsItem 1: Types of ATS SubscribersNMS Stock ATSs Item 2: Eligibility for ATS ServicesYes NoYes No en-USYes NoYes NoItem 3: Exclusion from ATS ServicesYes NoYes NoItem 4: Hours of OperationsYes NoItem 5: Means of EntryYes NoYes NoYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoItem 6: Connectivity and Co-locationYes NoYes NoYes NoYes NoYes NoYes NoYes NoItem 7: Order Types and Attributes American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoItem 8: Order SizesYes NoYes NoYes NoYes NoYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoItem 9: Conditional Orders and Indications of Interest Yes NoYes NoItem 10: Opening and ReopeningYes NoYes NoYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USItem 11: Trading Services, Facilities and RulesYes NoYes NoItem 12: Liquidity ProvidersYes NoItem 13: Segmentation; NoticeYes NoYes NoYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoYes NoItem 14: Counter-Party SelectionYes NoYes NoItem 15: DisplayYes NoYes NoYes NoItem 16: Routing Yes No American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoItem 17: ClosingYes NoYes NoItem 18: Trading Outside of Regular Trading HoursYes NoYes NoYes NoItem 19: Fees American LegalNet, Inc. www.FormsWorkFlow.com en-USItem 20: Suspension of Trading Yes NoItem 21: Trade Reporting Yes NoItem 22: Clearance and SettlementYes NoItem 23: Market DataYes NoItem 24: Order Display and Execution AccessYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USYes NoItem 25: Fair AccessYes NoYes NoItem 26: Aggregate Platform DataYes No American LegalNet, Inc. www.FormsWorkFlow.com en-USPart IV: Contact Information, Signature Block, and Consent to ServiceTitle: American LegalNet, Inc. www.FormsWorkFlow.com en-USFORM ATS-N INSTRUCTIONSA. FILING FORM ATS-N: American LegalNet, Inc. www.FormsWorkFlow.com en-USB. CONTACT INFORMATIONC. RECORDKEEPINGD. PAPERWORK REDUCTION ACT DISCLOSURE American LegalNet, Inc. www.FormsWorkFlow.com en-US en-USEXPLANATION OF TERMS225AFFILIATE225ALTERNATIVE TRADING SYSTEM225ROKER-DEALER OPERATOR225CONTROL225NMS SECURITY American LegalNet, Inc. www.FormsWorkFlow.com en-US225 NMS STOCK225 NMS STOCK ATS225 ORDER225 PERSON225 SUBSCRIBER225 TRADING CENTE American LegalNet, Inc. www.FormsWorkFlow.com

Our Products