Forms Catalog Document - ATS :-: SEC :-: ATS

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Rule 301 provides the conditions with which a broker-dealer alternative trading system must comply. Initially, all such alternative trading systems must file an initial operation report which includes information regarding operation of the system. Such alternative trading systems are also required to make quarterly reports of aggregate transaction data. Certain notice requirements are triggered by alternative trading system volume such as notification to an investor denied or limited access to the system and notice to the Commission of systems' outages.

Form #: ATS
Agency: Securities and Exchange Commission
Common Name: Rule 301 (17 CFR 242.301) Requirements for Alternative Trading Systems that are not National Securities Exchanges

	TYPE	PAGES	SIZE (KB)	CAPABILITY	WHAT'S NEEDED
	Both Form and Instructions	0	85	[2] Printable Only	Adobe Reader Download

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