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
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)
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All Historical Document Collections

202411-3235-010	Extension without change of a currently approved collection	2025-02-25
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.