1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
  6. 17 CFR § 249.640
17 CFR § 249.640
Form ATS-N, information required of NMS Stock ATSs pursuant to §242.304(a) of this chapter
April 15, 2021
CFR

This form shall be used by every NMS Stock ATS to file required reports under §242.304(a) of this chapter.

[83 FR 38913, Aug. 7, 2018]

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§ 249.639 Form custody
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§ 249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to §240.17a-14 of this chapter

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