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. Third Market

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

    A market that issues new securities on an exchange. Companies, ...
  4. Securities And Exchange Commission ...

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

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

    The trading of exchange-listed securities between institutions ...
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. Main Characteristics of Capitalist Economies
    Economics

    Main Characteristics of Capitalist Economies

Hot Definitions
  1. Halloween Strategy

    An investment technique in which an investor sells stocks before May 1 and refrains from reinvesting in the stock market ...
  2. Halloween Massacre

    Canada's decision to tax all income trusts domiciled in Canada. In October 2006, Canada's minister of finance, Jim Flaherty, ...
  3. Zombies

    Companies that continue to operate even though they are insolvent or near bankruptcy. Zombies often become casualties to ...
  4. Witching Hour

    The last hour of stock trading between 3pm (when the bond market closes) and 4pm EST. Witching hour is typically controlled ...
  5. October Effect

    The theory that stocks tend to decline during the month of October. The October effect is considered mainly to be a psychological ...
  6. Repurchase Agreement - Repo

    A form of short-term borrowing for dealers in government securities.
Trading Center