Ats Form 5 - Securities And Exchange Commission printable pdf download

Ats Form 5 - Securities And Exchange Commission

ATS FORM 5

SECURITIES AND EXCHANGE COMMISSION

ALTERNATIVE TRADING SYSTEM (ATS)

CHANGE IN THE SYSTEM REPORT

(ATS FORM 5)

GENERAL INSTRUCTIONS

The ATS Form 5 shall be submitted by operator of the ATS within ten (10)

calendar days before change in the System.

This form shall be signed by the ATS Operator’s principal executive

officer/president and IT personnel/officer.

The name of the person who signs this form shall be typed or printed

beneath his signature. Any person who occupies more than one of the

specified positions shall indicate the capacity in which he signs the

registration statement. At least one copy of the documents filed shall be

manually signed and the unsigned copies shall be conformed.

Incorporation by reference

Any information required in the ATS Form may incorporated by reference by

indicating the exhibit number in which the information may be found. Each

exhibit should be signed by the authorized officer of the registrant.

Exhibits

For each Exhibit, include the name of the applicant/ATS, the date of filing of

the Exhibit and the date as of which the information is accurate (if different

from the date of the filing). If any Exhibit required is inapplicable, a statement

to that effect shall be furnished instead of such Exhibit.

If the applicant/ATS files an amendment to the information provided in its

filing and the information relates to an Exhibit filed with the filing of a

subsequent amendment, it must provide a description of the change and file

a complete and updated Exhibit.

Five copies of the complete ATS Form 5 shall be filed, including exhibits and

all other papers and documents filed as part thereof.

Ats Form 5 - Securities And Exchange Commission