Regulation ATS Rule 304 and Form ATS-N

OMB 3235-0763

The Commission is adopting amendments to Regulation ATS, which include new Rule 304 and Form ATS-N for alternative trading systems that trade in ATS stocks.

The latest form for Regulation ATS Rule 304 and Form ATS-N expires 2021-09-30 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0763: Form ATS-N filings .

Latest Forms, Documents, and Supporting Material

Document Name
Form Form ATS-N Form ATS-N - Cessation of Operations Report Form and Instruction
Form Form ATS-N Form ATS-N - Amendments Form and Instruction
Form Form ATS-N Form ATS-N - Initial Operation Report Form and Instruction
3235-0763-- 2023 Rule 304 revised Supporting Statement re ATS proposal.pdf Supporting Statement A
Initial Form ATS-N - One-time burden related to 2022 ATS Proposed Rulemaking
Public Posting on NMS Stock ATS's website (Rule 304)
Form ATS-N - Cessation of Operations Report Form and Instruction
Form ATS-N - Amendments Form and Instruction
Form ATS-N - Initial Operation Report Form and Instruction

All Historical Document Collections

202306-3235-022 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-07-07
202109-3235-014 Approved without change	Extension without change of a currently approved collection	2022-01-03
201807-3235-002 Approved without change	New collection (Request for a new OMB Control Number)	2018-08-03

OMB Details

Form ATS-N - Initial Operation Report

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form ATS-N

Form ATS-N

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

Form and instruction

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