Ats Order Forms

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Commonly Asked Questions about Ats Order Forms

What is an ATS order?

An alternative trading system (ATS) is an SEC-regulated trading venue in which a computerized system matches buy and sell orders of securities. An ATS is not a national securities exchange, an ATS may apply to the SEC to become a national securities exchange.

What is the Federal Rule 304?

(Rule 304(h)(2): (1) applies to oral as well as written statements; (2) governs the timing under which applicable evidence may be introduced by the defense; (3) permits the defense to introduce the remainder of a statement to the extent that the remaining matter is part of the confession or admission or otherwise is

What is the rule 304 of regulation ATS?

Rule 304 of Regulation ATS requires alternative trading systems (ATSs) that trade NMS stocks (NMS Stock ATSs) to publicly file with the Commission an initial Form ATS-N, amendments to initial Form ATS-N, and notices of cessations of operations.

What is the fair access rule in regulation ATS?

Fair Access Rule (Rule 301(b)(5) of Reg ATS) The Fair Access Rule is generally designed to ensure that an ATS meeting certain volume thresholds in a particular security is accessible to all market participants as an important source of liquidity.

What is the rule 300 of regulation ATS?

[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

What is a ATS form?

Form ATS is the form an alternative trading system must file to notify the Securities and Exchange Commission (SEC or Commission) of its activities pursuant to Regulation ATS, 242.300 et seq.

What is the rule 304 under the Securities Exchange Act of 1934?

Rule 304 of Regulation ATS provides conditions for NMS Stock ATSs seeking to rely on the exemption from the definition of exchange provided by Rule 3a1-1(a) of the Exchange Act, including to file a Form ATS-N, and for that Form ATS-N to become effective.

What is the difference between an exchange and an ATS?

Like an exchange, an ATS may trade listed stocks but, unlike an exchange, an ATS may also trade unlisted stocksoften called over-the-counter (OTC) equity securitiesor fixed income securities, such as bonds, which typically trade in OTC markets.