Form ATS-N-W
| Field Name | Description | Data Type | Original/Engineered |
|---|---|---|---|
Cover Page | |||
| 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 |
| average_burden_hours_response | Estimated average time in hours to complete a new Form ATS-N filing, including gathering and reviewing information. | Numeric (Float) | Original |
| average_burden_hours_amendment | Estimated average time in hours to file an amendment to an existing Form ATS-N. | Numeric (Int) | Original |
| average_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 |
ATS-N-W: Filer Information | |||
| 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 |
| accession_no_filing_withdrawn | The unique EDGAR accession number that identifies the original filing that is being withdrawn or ceased by this ATS-N-W submission. This number is assigned by the SEC’s EDGAR system when the filing is accepted. | String (15-digit numeric format: yyyymmdd-nnnnnn) | 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 |
| filing_type | Status indicating whether the submission is a LIVE or TEST filing. | Text (String) | Original |
| hardship_exemption_copy | 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 |
| notify_via_filing_website | Indicates whether notifications should be made exclusively through the EDGAR filing website. | Boolean | Original |
| ATS-N-W Part IV: Contact Information, Signature Block, and Consent to Service | |||
| 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_ignatory_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_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 |