SEC Form ATS

AAA

DEFINITION of 'SEC Form ATS'

A form that is filed with the SEC as an initial operation report or an amendment to initial operation report, or a cessation of operations report for alternative trading systems. SEC Form ATS must be filed 20 days prior to the initial operation or before a material change to an alternative trading system.

INVESTOPEDIA EXPLAINS 'SEC Form ATS'

An alternative trading system means any organization or system that provides a market place for bringing together purchases and sellers of securities. It also applies to any system which with respect to securities performs the functions commonly performed by a stock exchange and that does not set rules governing the conduct of its subscribers.

RELATED TERMS
  1. SEC Form ATS-R

    A form that is filed with the SEC by alternative trading systems. ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Secondary Market

    A market where investors purchase securities or assets from other ...
  4. Fourth Market

    The trading of exchange-listed securities between institutions ...
  5. Third Market

    Trading by non exchange-member brokers/dealers and institutional ...
  6. Primary Market

    A market that issues new securities on an exchange. Companies, ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. Getting To Know The Stock Exchanges
    Options & Futures

    Getting To Know The Stock Exchanges

  3. A Look At Primary And Secondary Markets
    Investing Basics

    A Look At Primary And Secondary Markets

  4. Material Adverse Effect A Warning Sign ...
    Markets

    Material Adverse Effect A Warning Sign ...

comments powered by Disqus
Hot Definitions
  1. Days Sales Of Inventory - DSI

    A financial measure of a company's performance that gives investors an idea of how long it takes a company to turn its inventory ...
  2. Accounts Payable - AP

    An accounting entry that represents an entity's obligation to pay off a short-term debt to its creditors. The accounts payable ...
  3. Ratio Analysis

    Quantitative analysis of information contained in a company’s financial statements. Ratio analysis is based on line items ...
  4. Days Payable Outstanding - DPO

    A company's average payable period. Calculated as: ending accounts payable / (cost of sales/number of days).
  5. Net Sales

    The amount of sales generated by a company after the deduction of returns, allowances for damaged or missing goods and any ...
  6. Over The Counter

    A security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, etc. The phrase "over-the-counter" ...
Trading Center