Regulation ATS Rule 301 Amendments

OMB 3235-0509

The Securities and Exchange Commission is amending the regulatory requirements in Regulation ATS under the Exchange Act applicable to NMS Stock ATSs. The majority of these regulatory requirements are in new Rule 304 and Form ATS-N, which are being submitted to OMB separately for approval and a control number. However, the rulemaking also includes new information collections under Rule 301 and a related revision to the existing IC for Form ATS (which has the same OMB Control Number as Rule 301) and we are also updating our burden estimates for some of the other ICs in the rule.

The latest form for Regulation ATS Rule 301 Amendments expires 2021-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form Form ATS-R Form ATS-R - Quarterly Reports Form and Instruction
Form Form ATS Form ATS - Amendments Form and Instruction
Form Form ATS Form ATS - Initial Operation Report Form and Instruction
3235-0509 Supporting Statement (2023 Proposed Partial Revision).pdf Supporting Statement A
Form ATS-R - Quarterly Reports Form and Instruction
System Outage Notices
Fair Access Notices
Written Confidentiality Procedures - ATSs to Update Procedures
Written Confidentiality Procedures - ATSs w/o Procedures
Form ATS-R - NMS Stock ATSs Filing An Additional Set of Quarterly Reports
Systems Capacity, Integrity and Security Recordkeeping
Fair Access Standards Recordkeeping
Form ATS - Cessation of Operations Report
Form ATS - Amendments Form and Instruction
Form ATS - Initial Operation Report Form and Instruction

All Historical Document Collections

202306-3235-009 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-06-16
202101-3235-011 Approved without change	Extension without change of a currently approved collection	2021-09-16
201806-3235-002 Approved without change	Revision of a currently approved collection	2018-08-03
201605-3235-015 Comment filed on proposed rule and continue	Revision of a currently approved collection	2016-06-01
201510-3235-023 Approved without change	Revision of a currently approved collection	2015-10-29
201507-3235-003 Comment filed on proposed rule and continue	Revision of a currently approved collection	2015-07-09
201311-3235-011 Approved without change	Extension without change of a currently approved collection	2014-02-03
201304-3235-014 Comment filed on proposed rule and continue	Revision of a currently approved collection	2013-06-10
201010-3235-021 Approved without change	Extension without change of a currently approved collection	2011-01-05
200912-3235-018 Preapproved	Revision of a currently approved collection	2010-01-05
200706-3235-001 Approved without change	Revision of a currently approved collection	2007-08-03
200408-3235-006 Approved without change	Extension without change of a currently approved collection	2004-08-12
200106-3235-017 Approved without change	Extension without change of a currently approved collection	2001-06-27
199812-3235-022 Approved without change	No material or nonsubstantive change to a currently approved collection	1998-12-14
199804-3235-008 Approved without change	New collection (Request for a new OMB Control Number)	1998-04-29

OMB Details

Form ATS-R - Quarterly Reports

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form ATS-R

Form ATS-R

www.sec.gov/about/forms/formats.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.