Form ATS-N-C
| Field Name | Data Definition | Data Type | Original/Engineered |
|---|---|---|---|
| form_name | Official title identifying this SEC filing as “Form ATS-N,” which is the required notice for alternative trading systems that trade NMS stocks. | Text (String) | Original |
| agency_name | States that the form is submitted to the United States Securities and Exchange Commission (SEC). | Text (String) | Original |
| form_type | Indicates whether the filing is a new Form ATS-N, an updating amendment, or a notice of cessation. | Text (String) | Original |
| omb_number | Unique control number assigned by the Office of Management and Budget for this information collection (OMB # 3235-0763). | Text (String) | Original |
| burden_hours_response | Estimated average time in hours to complete a new Form ATS-N filing, including gathering and reviewing information. | Numeric (Float) | Original |
| burden_hours_amendment | Estimated average time in hours to file an amendment to an existing Form ATS-N. | Numeric (Int) | Original |
| burden_hours_cessation | Estimated average time in hours to file a cessation notice for Form ATS-N. | Numeric (Int) | Original |
| omb_expiration_date | Expiration date for the current OMB approval for this information collection. | Date | Original |
| filer_cik | Unique Central Index Key number assigned by the SEC to identify each filer in the EDGAR system. | String (10-digit numeric) | Original |
| filer_ccc | Confidential Central Index Key Confirmation Code used for authenticating EDGAR submissions. | String | Original |
| mpid | Market Participant Identifier assigned to the NMS Stock Alternative Trading System (ATS). | Text (String) | Original |
| name_ats | Legal name of the Alternative Trading System submitting the cessation notice and making the filing pursuant to the Rule 304 under the SEC Act of 1934 | Text (String) | Original |
| cessation_date | Date on which the NMS Stock ATS will cease operations as reported to the SEC. | Date | Original |
| filing_type | Status indicating whether the submission is a LIVE or TEST filing. | Text (String) | Original |
| is_hardship_exemption | Specifies if the filing is an electronic copy of an official paper submission made under a hardship exemption. | Boolean | Original |
| submission_contact_name | Full name of the individual designated to answer questions about this submission. | Text (String) | Original |
| submission_contact_phone | Telephone number of the submission contact. | Text (String) | Original |
| submission_contact_email | Email address of the submission contact. | Text (String) | Original |
| is_filing_website | Indicates whether notifications should be made exclusively through the EDGAR filing website. | Boolean | Original |
| respondent_first_name | First name of the person designated to respond to inquiries about the filing. | Text (String) | Original |
| respondent_last_name | Last name of the person designated to respond to inquiries about the filing. | Text (String) | Original |
| respondent_title | Job title of the designated respondent. | Text (String) | Original |
| respondent_email | Email address of the designated respondent. | Text (String) | Original |
| respondent_telephone | Phone number of the designated respondent. | Text (String) | Original |
| primary_street_address | Primary street address where the NMS Stock ATS operates. | Text (String) | Original |
| mailing_address | Mailing address for the ATS, if different from the primary street address. | Text (String) | Original |
| consent_service | Consent statement allowing the SEC or SROs to serve legal notices to the ATS at the addresses provided. | Boolean (implied) | Original |
| signature_date | Date the form was signed and certified by an authorized representative. | Date | Original |
| signed_by | Name of the ATS entity that authorized and signed the filing. | Text (String) | Original |
| authorized_signatory | Name of the individual who signed the filing on behalf of the ATS. | Text (String) | Original |
| authorized_signatory_title | Title of the authorized signatory who signed the form. | Text (String) | Original |
| Field Name | Data Definition | Data Type | Original/Engineered |
|---|---|---|---|
| form_name | Official title identifying this SEC filing as “Form ATS-N,” which is the required notice for alternative trading systems that trade NMS stocks. | Text (String) | Original |
| agency_name | States that the form is submitted to the United States Securities and Exchange Commission (SEC). | Text (String) | Original |
| form_type | Indicates whether the filing is a new Form ATS-N, an updating amendment, or a notice of cessation. | Text (String) | Original |
| omb_number | Unique control number assigned by the Office of Management and Budget for this information collection (OMB # 3235-0763). | Text (String) | Original |
| burden_hours_response | Estimated average time in hours to complete a new Form ATS-N filing, including gathering and reviewing information. | Numeric (Float) | Original |
| burden_hours_amendment | Estimated average time in hours to file an amendment to an existing Form ATS-N. | Numeric (Int) | Original |
| burden_hours_cessation | Estimated average time in hours to file a cessation notice for Form ATS-N. | Numeric (Int) | Original |
| omb_expiration_date | Expiration date for the current OMB approval for this information collection. | Date | Original |
| filer_cik | Unique Central Index Key number assigned by the SEC to identify each filer in the EDGAR system. | String (10-digit numeric) | Original |
| filer_ccc | Confidential Central Index Key Confirmation Code used for authenticating EDGAR submissions. | String | Original |
| mpid | Market Participant Identifier assigned to the NMS Stock Alternative Trading System (ATS). | Text (String) | Original |
| name_ats | Legal name of the Alternative Trading System submitting the cessation notice and making the filing pursuant to the Rule 304 under the SEC Act of 1934 | Text (String) | Original |
| cessation_date | Date on which the NMS Stock ATS will cease operations as reported to the SEC. | Date | Original |
| filing_type | Status indicating whether the submission is a LIVE or TEST filing. | Text (String) | Original |
| is_hardship_exemption | Specifies if the filing is an electronic copy of an official paper submission made under a hardship exemption. | Boolean | Original |
| submission_contact_name | Full name of the individual designated to answer questions about this submission. | Text (String) | Original |
| submission_contact_phone | Telephone number of the submission contact. | Text (String) | Original |
| submission_contact_email | Email address of the submission contact. | Text (String) | Original |
| is_filing_website | Indicates whether notifications should be made exclusively through the EDGAR filing website. | Boolean | Original |
| respondent_first_name | First name of the person designated to respond to inquiries about the filing. | Text (String) | Original |
| respondent_last_name | Last name of the person designated to respond to inquiries about the filing. | Text (String) | Original |
| respondent_title | Job title of the designated respondent. | Text (String) | Original |
| respondent_email | Email address of the designated respondent. | Text (String) | Original |
| respondent_telephone | Phone number of the designated respondent. | Text (String) | Original |
| primary_street_address | Primary street address where the NMS Stock ATS operates. | Text (String) | Original |
| mailing_address | Mailing address for the ATS, if different from the primary street address. | Text (String) | Original |
| consent_service | Consent statement allowing the SEC or SROs to serve legal notices to the ATS at the addresses provided. | Boolean (implied) | Original |
| signature_date | Date the form was signed and certified by an authorized representative. | Date | Original |
| signed_by | Name of the ATS entity that authorized and signed the filing. | Text (String) | Original |
| authorized_signatory | Name of the individual who signed the filing on behalf of the ATS. | Text (String) | Original |
| authorized_signatory_title | Title of the authorized signatory who signed the form. | Text (String) | Original |