Form Ats-R - Quarterly Report Of Alternative Trading System Activities (Page 6 of 6) in pdf

Form Ats-R - Quarterly Report Of Alternative Trading System Activities Page 6

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Form ATS-R

OFFICIAL

WASHINGTON, D.C. 20549

Page 3

USE

QUARTERLY REPORT OF ALTERNATIVE TRADING SYSTEM ACTIVITIES

ONLY

DO NOT WRITE BELOW THIS LINE - FOR OFFICIAL USE ONLY

Alternative Trading System Name:

CRD Number

________________________

Period covered by this report:

SEC File Number:8-

6. Provide the total unit and dollar volume of transactions for after-hours trading in the following securities.

Enter “None,” “N/A” or “0” where appropriate.

Category of Securities

Total Unit Volume of

Total Dollar Volume of

Transactions

A. Listed Equity Securities

B. Nasdaq National Market Securities

C. Nasdaq SmallCap Market Securities

D. Listed options

7. Attach as Exhibit C, a list of all persons granted, denied, or limited access to the alternative trading system

during the period covered by this report, designating for each person (a) whether they were granted, denied,

or limited access; (b) the date the alternative trading system took such action; (c) the effective date of such

action; and (d) the nature of any denial on limitation of access.

Form Ats-R - Quarterly Report Of Alternative Trading System Activities Page 6