OMB control number

Regulation ATS Rule 304 and Form ATS-N

OMB 3235-0763 · SEC.

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 2028-04-30 and is listed under ICR 202411-3235-010.

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

Latest forms, documents, and information collections
Document	Type
Form Form ATS-N Form ATS-N	Form and Instruction
Form Form ATS-N Form ATS-N - Cessation of Operations Report	Form and Instruction
Form Form ATS-N Form ATS-N	Form and Instruction
Form Form ATS-N Form ATS-N - Amendments	Form and Instruction
Form Form ATS-N Form ATS-N	Form and Instruction
Form Form ATS-N Form ATS-N - Initial Operation Report	Form and Instruction
February 18, 2025.EDGAR PIA.pdf	Supplementary Document
2025 02 25_90 FR 10663_3235-0763_30-Day Submission Notice.pdf.pdf	Supplementary Document
Supporting Statement_ Rule 304 2025.pdf	Supporting Statement A
89 FR 95256 (OMB 3235–0763).pdf	Supplementary Document
Public Posting on NMS Stock ATS's website (Rule 304)	Information collection
Form ATS-N - Cessation of Operations Report	Form and Instruction
Form ATS-N - Cessation of Operations Report	Form and Instruction
Form ATS-N - Amendments	Form and Instruction
Form ATS-N - Amendments	Form and Instruction
Form ATS-N - Initial Operation Report	Form and Instruction
Form ATS-N - Initial Operation Report	Form and Instruction

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202411-3235-010	Extension without change of a currently approved collection	2025-02-25
202306-3235-022	Revision of a currently approved collection	2023-07-07	Comment filed on proposed rule and continue
202109-3235-014	Extension without change of a currently approved collection	2022-01-03	Approved without change
201807-3235-002	New collection (Request for a new OMB Control Number)	2018-08-03	Approved without change

OMB Details

Form ATS-N - Initial Operation Report

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
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.