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Description: Regulation ATS allows broker-dealers to register as alternative trading systems and set up automated trading platforms without registering as national securities exchanges under the Exchange Act. A firm may operate as an ATS if it registers as a broker-dealer and files a report of its operations on Form ATS. The Regulation also requires that firms file quarterly reports on Form ATS-R.
Form Type: Other Document Templates
Practice Area: Corporate & Securities

Date: Jun 2013
PLI Item #: 57879
Official ID: SEC 2551 (06-09)
Keywords: "broker-dealer"; "automated trading platform"; "alternative trading system"; "securities exchange"; SEC; "securities and exchange commission"; "division of trading and markets"; registration; regulation; "regulation ATS"; "form ATS"; "section 5"; "section 6"; "exchange act"; "Form ATS-R"
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