SEC Form ATS

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.

BREAKING DOWN '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.

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