Form 6B NTC
| Field Name | Description | Data Type | Original/Engineered |
|---|---|---|---|
| act_release | The official sequential release number the SEC assigns to any notice or order under the Investment Company Act. | Text (String) | Original |
| company_name | The legal name(s) of the applicant(s) seeking exemptive relief. | Text (String) | Original |
| date | The date the notice is published or the release is issued by the SEC. | Date | Original |
| agency | The issuing federal agency — always “Securities and Exchange Commission.” Always named at the start of the notice. | Text (String) | Original |
| action | Short statement describing the type of document — here, “Notice of an application under section 6(c) of the Investment Company Act of 1940 (the “Act”)” | Text (String) | Original |
| application_summary | A short summary of what the applicants are requesting — e.g., the exemption sought and why. | Text (String) | Original |
| applicants | Names of all entities filing the application (may include funds, advisers, affiliates). | Text (String) | Original |
| filing_dates | Dates the application was initially filed and any amendments filed. | Text (String) | Original |
| hearing_notification_hearing | Describes the process by which the public may request a hearing, the deadline to request, the information required, and the SEC’s default action if no hearing is requested. | Text (String) | Original |
| addresses | Contact details for submitting hearing requests and service copies, including email or physical addresses for the SEC Secretary and the applicant’s counsel | Text (String) | Original |
| further_information_contact | Name, title, phone number, and division (typically Division of Investment Management) of the SEC staff attorney handling the application. | Text (String) | Original |
| supplementary_informaton | A concluding paragraph that tells the reader how to find the full filed application, legal analysis, conditions, or other representations. It may also include procedural statements and sign-off language by SEC staff under delegated authority. | Text (String) | Original |
| applicants_representations | The only representations in a permit application that become conditions under which a permit holder shall operate are the following: (1) representations in an acid rain permit application; (2) upon the granting of authorization to operate under a general operating permit, applicability determinations and the bases for the determinations in a general operating permit application; and (3) any representation in an application which is specified in the permit as being a condition under which the permit holder shall operate. | Text (String) | Original |
| applicants_legal_analysis | Insert this contract clause when it is determined that the contract involves legal analysis. The Contractor shall furnish to the Contracting Officer's Representative one (1) copy of any draft legal analysis. The Government will provide a response to the Contractor within thirty (30) calendar days after receipt. The Contractor shall not finalize the analysis until the Government has given approval. | Text (String) | Original |
| applicants_conditions | The applicants agree that any order granting the requested relief will be subject to conditions | 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 |