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Form ATS-N

Field NameData DefinitionData TypeOriginal/Engineered
form_nameOfficial 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_nameStates that the form is submitted to the United States Securities and Exchange Commission (SEC).Text (String)Original
form_typeIndicates whether the filing is a new Form ATS-N, an updating amendment, or a notice of cessation.Text (String)Original
omb_numberUnique control number assigned by the Office of Management and Budget for this information collection (OMB # 3235-0763).Text (String)Original
burden_hours_responseEstimated average time in hours to complete a new Form ATS-N filing, including gathering and reviewing information.Numeric (Float)Original
burden_hours_amendmentEstimated average time in hours to file an amendment to an existing Form ATS-N.Numeric (Int)Original
burden_hours_cessationEstimated average time in hours to file a cessation notice for Form ATS-N.Numeric (Int)Original
omb_expiration_dateExpiration date for the current OMB approval for this information collection.DateOriginal
filer_informationBasic identification details for the alternative trading system (ATS) operator, including legal name, file number, Filer CIK, Phone number, Email address, and primary contact information.Text (String)Original
identifying_informationLegal entity name of the ATS, SEC file number, CRD number, physical business address, and contact person details for official communication with the SEC.Text (String)Original
bd_operator_activityDescribes whether and how the ATS operator engages in proprietary trading on the ATS platform.Text (String)/BooleanOriginal
affiliate_activityProvides information about any affiliates that trade on the ATS, the nature of their trading, and potential conflicts of interest.Text (String)/BooleanOriginal
order_interaction_rulesDescribes how subscriber orders interact with orders from the operator or its affiliates, including rules or controls.Text (String)/BooleanOriginal
trading_center_arrangementsDiscloses whether the ATS routes subscriber orders to other trading centers, including routing arrangements.Text (String)/BooleanOriginal
other_products_servicesIdentifies other financial products or services offered by the ATS operator or its affiliates that may relate to ATS operations.Text (String)/BooleanOriginal
service_provider_activitiesDescribes third-party service providers who have access to ATS systems or data and the role they play.Text (String)/BooleanOriginal
data_protection_measuresDetails policies and procedures to protect confidential trading data from misuse by the operator, affiliates, or service providers.Text (String)/BooleanOriginal
ats_subscribers_typeDescribes the categories of entities allowed to use the ATS, such as broker-dealers, institutional investors, or retail investors.Enum + Text (String)Original
ats_subscribers_criteriaStates the criteria subscribers must meet to gain access to ATS services.Text (String)/BooleanOriginal
ats_subscribers_exclusionExplains the circumstances or rules under which a subscriber may be denied access or excluded from the ATS.Text (String)/BooleanOriginal
operation_hoursSpecifies the days and times during which the ATS is open for trading.Text (String)/BooleanOriginal
entry_meansDescribes how subscribers can enter orders into the ATS, such as through terminals, APIs, or FIX connections.Text (String)/BooleanOriginal
connectivity_colocationDetails any co-location services or connectivity options provided to subscribers to access the ATS.Text (String)/BooleanOriginal
supported_order_typesLists the types of orders supported by the ATS and their key characteristics (limit orders, market orders, etc.).Text (String)/BooleanOriginal
order_size_limitsSpecifies minimum or maximum order sizes allowed on the ATS.Text (String)/BooleanOriginal
conditional_order_rulesExplains whether the ATS accepts conditional orders or indications of interest (IOIs) and how they operate.Text (String)/BooleanOriginal
market_open_restart_proceduresDescribes how the ATS handles the start or restart of trading sessions, including auctions or price discovery.Text (String)/BooleanOriginal
trading_rulesOutlines other trading features, facilities, or unique rules that apply to transactions on the ATS.Text (String)/BooleanOriginal
liquidity_providersProvides information about firms or individuals acting as liquidity providers on the ATS.Text (String)/BooleanOriginal
market_segmentationDescribes whether the ATS segments subscribers or orders and how subscribers are notified of segmentation.Text (String)/BooleanOriginal
counterparty_selectionDetails any features that allow subscribers to select or avoid counterparties.Text (String)/BooleanOriginal
order_display_rulesExplains how orders are displayed to other subscribers or the public.Text (String)/BooleanOriginal
order_routing_policyDescribes how the ATS routes orders to other trading venues or markets.Text (String)/BooleanOriginal
market_close_proceduresExplains how the ATS handles the end of the trading day or session.Text (String)/BooleanOriginal
extended_hours_tradingDescribes whether trading is permitted outside normal market hours and any conditions for doing so.Text (String)/BooleanOriginal
fee_scheduleDetails fees charged to subscribers for using the ATS.Text (String)Original
trading_suspension_policyDescribes when and how trading may be suspended on the ATS.Text (String)/BooleanOriginal
trade_reporting_methodOutlines how executed trades are reported to regulators or the public.Text (String)/BooleanOriginal
clearance_settlementExplains the processes for clearing and settling trades executed on the ATS.Text (String)/BooleanOriginal
market_data_provisionDescribes the market data generated by the ATS and how it is shared or sold.Text (String)/BooleanOriginal
order_execution_accessDescribes access rules for displaying orders and executing trades.Text (String)/BooleanOriginal
fair_access_policyDetails the ATS’s compliance with fair access requirements under SEC rules.Text (String)/BooleanOriginal
aggregate_data_disclosureProvides aggregated trading volume or activity data for the ATS.Text (String)/BooleanOriginal
contact_signature_consentCertification signed by an authorized officer or representative, confirming the accuracy of information and consenting to service of process. Includes name, title, contact details, and signature.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_information Basic identification details for the alternative trading system (ATS) operator, including legal name, file number, Filer CIK, Phone number, Email address, and primary contact information. Text (String) Original
identifying_information Legal entity name of the ATS, SEC file number, CRD number, physical business address, and contact person details for official communication with the SEC. Text (String) Original
bd_operator_activity Describes whether and how the ATS operator engages in proprietary trading on the ATS platform. Text (String)/Boolean Original
affiliate_activity Provides information about any affiliates that trade on the ATS, the nature of their trading, and potential conflicts of interest. Text (String)/Boolean Original
order_interaction_rules Describes how subscriber orders interact with orders from the operator or its affiliates, including rules or controls. Text (String)/Boolean Original
trading_center_arrangements Discloses whether the ATS routes subscriber orders to other trading centers, including routing arrangements. Text (String)/Boolean Original
other_products_services Identifies other financial products or services offered by the ATS operator or its affiliates that may relate to ATS operations. Text (String)/Boolean Original
service_provider_activities Describes third-party service providers who have access to ATS systems or data and the role they play. Text (String)/Boolean Original
data_protection_measures Details policies and procedures to protect confidential trading data from misuse by the operator, affiliates, or service providers. Text (String)/Boolean Original
ats_subscribers_type Describes the categories of entities allowed to use the ATS, such as broker-dealers, institutional investors, or retail investors. Enum + Text (String) Original
ats_subscribers_criteria States the criteria subscribers must meet to gain access to ATS services. Text (String)/Boolean Original
ats_subscribers_exclusion Explains the circumstances or rules under which a subscriber may be denied access or excluded from the ATS. Text (String)/Boolean Original
operation_hours Specifies the days and times during which the ATS is open for trading. Text (String)/Boolean Original
entry_means Describes how subscribers can enter orders into the ATS, such as through terminals, APIs, or FIX connections. Text (String)/Boolean Original
connectivity_colocation Details any co-location services or connectivity options provided to subscribers to access the ATS. Text (String)/Boolean Original
supported_order_types Lists the types of orders supported by the ATS and their key characteristics (limit orders, market orders, etc.). Text (String)/Boolean Original
order_size_limits Specifies minimum or maximum order sizes allowed on the ATS. Text (String)/Boolean Original
conditional_order_rules Explains whether the ATS accepts conditional orders or indications of interest (IOIs) and how they operate. Text (String)/Boolean Original
market_open_restart_procedures Describes how the ATS handles the start or restart of trading sessions, including auctions or price discovery. Text (String)/Boolean Original
trading_rules Outlines other trading features, facilities, or unique rules that apply to transactions on the ATS. Text (String)/Boolean Original
liquidity_providers Provides information about firms or individuals acting as liquidity providers on the ATS. Text (String)/Boolean Original
market_segmentation Describes whether the ATS segments subscribers or orders and how subscribers are notified of segmentation. Text (String)/Boolean Original
counterparty_selection Details any features that allow subscribers to select or avoid counterparties. Text (String)/Boolean Original
order_display_rules Explains how orders are displayed to other subscribers or the public. Text (String)/Boolean Original
order_routing_policy Describes how the ATS routes orders to other trading venues or markets. Text (String)/Boolean Original
market_close_procedures Explains how the ATS handles the end of the trading day or session. Text (String)/Boolean Original
extended_hours_trading Describes whether trading is permitted outside normal market hours and any conditions for doing so. Text (String)/Boolean Original
fee_schedule Details fees charged to subscribers for using the ATS. Text (String) Original
trading_suspension_policy Describes when and how trading may be suspended on the ATS. Text (String)/Boolean Original
trade_reporting_method Outlines how executed trades are reported to regulators or the public. Text (String)/Boolean Original
clearance_settlement Explains the processes for clearing and settling trades executed on the ATS. Text (String)/Boolean Original
market_data_provision Describes the market data generated by the ATS and how it is shared or sold. Text (String)/Boolean Original
order_execution_access Describes access rules for displaying orders and executing trades. Text (String)/Boolean Original
fair_access_policy Details the ATS’s compliance with fair access requirements under SEC rules. Text (String)/Boolean Original
aggregate_data_disclosure Provides aggregated trading volume or activity data for the ATS. Text (String)/Boolean Original
contact_signature_consent Certification signed by an authorized officer or representative, confirming the accuracy of information and consenting to service of process. Includes name, title, contact details, and signature. Text (String) Original

Enterprise: Enterprise & Institutions

For large organizations and institutions with specialized requirements, this plan offers customizable solutions. Contact us for options like multiple API keys, priority support, redistribution rights, or unlimited data access. Example use cases include:
  • Stock exchanges meeting compliance and reporting obligations
  • Brokerage firms providing live SEC filings access to clients
  • Data providers redistributing datasets via APIs, downloads, or other channels
  • Platforms or applications delivering licensed data to end-users through paywalls or controlled access

Scale: Business / Internal Use

Built for organizations leveraging the platform for internal operations, this tier supports data-driven teams and professionals. Common applications include:
  • Investment advisors, equity research teams, and family offices analyzing market filings
  • Hedge funds tracking registration statements and disclosures in real time
  • Law firms reviewing administrative and legal records
  • Financial analysts at banks conducting detailed research
  • Talent acquisition teams evaluating employment contracts and compensation packages

Growth: Personal & Startups

Designed for innovators, individual developers, and university researchers, this plan supports small-scale projects and early-stage experimentation. Typical scenarios include:
  • Professors providing their students with full API access for coursework in financial engineering
  • Graduate students and researchers producing papers for journals or academic conferences
  • Solo founders or small teams building early prototypes and minimum viable products

Explorer:

For testing purposes.