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Alternative Trading System ("ATS") List

January 2009 - December 2021

Regulation ATS establishes a regulatory framework for “alternative trading systems” (“ATSs”). An ATS is a trading system that meets the definition of “exchange” under federal securities laws but is not required to register as a national securities exchange if the ATS operates under the exemption provided under Exchange Act Rule 3a1-1(a). To operate under this exemption, an ATS must comply with the requirements set forth in Rules 300-303 of Regulation ATS.

To comply with Regulation ATS, an ATS must, among other things, register as a broker-dealer and file an initial operation report with the Commission on Form ATS before commencing operations. Thereafter, an ATS must file amendments to Form ATS to provide notice of any changes to its operations, and must file a cessation of operation report on Form ATS if it ceases operations. Form ATS is not an application and the Commission does not approve an ATS before it begins operation.  Form ATS is, instead, a notice to the Commission. The requirements for filing reports using Form ATS can be found in Rule 301(b)(2) of Regulation ATS.

Based on information filed by ATSs on Form ATS, the ATS list includes the name, the name(s) under which business is conducted, and location of each ATS with a Form ATS on file with the Commission. The list also identifies each ATS that filed a cessation of operations report in the prior month. The list is provided in a PDF format and arranged alphabetically by ATS name.

The SEC receives submissions from ATSs on an ongoing basis pursuant to Regulation ATS. We note that the list of ATSs changes over time. Commission staff expects to update the list monthly.

A list of ATSs that filed an initial Form ATS-N with the Commission to trade NMS stocks can be found at

Send an e-mail message to for technical questions regarding the website. Contact the Office of Interpretation and Guidance, Division of Trading and Markets at 202-551-5777 or for additional information about the data.

Data Downloads

File: December 30, 2021 Format:PDF Size:69.97 KB
File: November 30, 2021 Format:PDF Size:69.99 KB
File: October 31, 2021 Format:PDF Size:69.93 KB
File: September 30, 2021 Format:PDF Size:70 KB
File: August 31, 2021 Format:PDF Size:65.51 KB
File: July 31, 2021 Format:PDF Size:69.65 KB
File: June 30, 2021 Format:PDF Size:65.67 KB
File: May 31, 2021 Format:PDF Size:69.67 KB
File: April 30, 2021 Format:PDF Size:69.68 KB
File: March 31, 2021 Format:PDF Size:69.68 KB
File: February 28, 2021 Format:PDF Size:66.14 KB
File: January 31, 2021 Format:PDF Size:65.63 KB
File: December 31, 2020 Format:PDF Size:69.66 KB
File: November 30, 2020 - Corrected Format:PDF Size:65.34 KB
File: October 31, 2020 - Corrected Format:PDF Size:65.44 KB
File: September 30, 2020 Format:PDF Size:53.63 KB
File: August 31, 2020 Format:PDF Size:65.46 KB
File: July 31, 2020 Format:PDF Size:65.45 KB
File: June 30, 2020 Format:PDF Size:65.27 KB
File: June 2, 2020 Format:PDF Size:65.3 KB
File: April 30, 2020 Format:PDF Size:71.6 KB
File: March 31, 2020 Format:PDF Size:65.47 KB
File: February 29, 2020 Format:PDF Size:148.33 KB
File: January 31, 2020 Format:PDF Size:84.13 KB
File: December 31, 2019 Format:PDF Size:84.54 KB
File: November 30, 2019 Format:PDF Size:168.39 KB
File: October 31, 2019 Format:PDF Size:88.74 KB
File: September 30, 2019 Format:PDF Size:100.08 KB
File: August 31, 2019 Format:PDF Size:92.72 KB
File: July 31, 2019 Format:PDF Size:92.75 KB
File: June 30, 2019 Format:PDF Size:92.56 KB
File: May 31, 2019 Format:PDF Size:92.62 KB
File: April 30, 2019 Format:PDF Size:92.93 KB
File: March 31, 2019 Format:PDF Size:82.17 KB
File: February 28, 2019 Format:PDF Size:82.09 KB
File: January 31, 2019 Format:PDF Size:84.68 KB
File: November 30, 2018 Format:PDF Size:89.22 KB
File: October 31, 2018 Format:PDF Size:89.66 KB
File: September 30, 2018 Format:PDF Size:33.47 KB
File: August 31, 2018 Format:PDF Size:28.86 KB
File: July 31, 2018 Format:PDF Size:33.49 KB
File: June 30, 2018 Format:PDF Size:33.27 KB
File: May 31, 2018 Format:PDF Size:33.24 KB
File: April 30, 2018 Format:PDF Size:32.66 KB
File: March 31, 2018 Format:PDF Size:33.1 KB
File: February 28, 2018 Format:PDF Size:32.37 KB
File: January 31, 2018 Format:PDF Size:32.5 KB
File: January 3, 2018 Format:PDF Size:32.58 KB
File: November 30, 2017 Format:PDF Size:27.77 KB
File: October 31, 2017 Format:PDF Size:27.57 KB
File: September 30, 2017 Format:PDF Size:31.78 KB
File: August 31, 2017 Format:PDF Size:45.4 KB
File: July 31, 2017 Format:PDF Size:49.67 KB
File: July 2017 Format:PDF Size:50.21 KB
File: June 1, 2017 Format:PDF Size:50.16 KB
File: May 3, 2017 Format:PDF Size:50.08 KB
File: April 3, 2017 Format:PDF Size:45.33 KB
File: March 1, 2017 Format:PDF Size:49.78 KB
File: February 1, 2017 Format:PDF Size:30.2 KB
File: January 1, 2017 Format:PDF Size:31.7 KB
File: December 1, 2016 Format:PDF Size:49.37 KB
File: November 1, 2016 Format:PDF Size:44.81 KB
File: October 1, 2016 Format:PDF Size:53.69 KB
File: September 1, 2016 Format:PDF Size:30.77 KB
File: August 1, 2016 Format:PDF Size:50.55 KB
File: July 1, 2016 Format:PDF Size:50.53 KB
File: June 1, 2016 Format:PDF Size:50.74 KB
File: May 1, 2016 Format:PDF Size:50.39 KB
File: April 1, 2016 Format:PDF Size:15.82 KB
File: March 1, 2016 Format:PDF Size:50.59 KB
File: February 1, 2016 Format:PDF Size:50.57 KB
File: January 1, 2016 Format:PDF Size:31.32 KB
File: December 1, 2015 Format:PDF Size:50.62 KB
File: November 1, 2015 Format:PDF Size:50.5 KB
File: October 1, 2015 Format:PDF Size:50.63 KB
File: September 1, 2015 Format:PDF Size:50.64 KB
File: August 1, 2015 Format:PDF Size:50.84 KB
File: July 1, 2015 Format:PDF Size:50.7 KB
File: June 1, 2015 Format:PDF Size:50.6 KB
File: May 1, 2015 Format:PDF Size:49.79 KB
File: April 6, 2015 Format:PDF Size:65.43 KB
File: March 1, 2015 Format:PDF Size:31.78 KB
File: February 1, 2015 Format:PDF Size:32 KB
File: January 1, 2015 Format:PDF Size:31.96 KB
File: December 1, 2014 Format:PDF Size:26.73 KB
File: November 1, 2014 Format:PDF Size:31.82 KB
File: October 1, 2014 Format:PDF Size:31.84 KB
File: September 1, 2014 Format:PDF Size:27.16 KB
File: August 1, 2014 Format:PDF Size:38.07 KB
File: May 1, 2014 Format:PDF Size:55.78 KB
File: February 1, 2014 Format:PDF Size:50.91 KB
File: November 1, 2013 Format:PDF Size:83.63 KB
File: August 1, 2013 Format:PDF Size:55.87 KB
File: March 1, 2013 Format:PDF Size:43.57 KB
File: July 31, 2012 Format:PDF Size:16.94 KB
File: April 30, 2012 Format:PDF Size:80.88 KB
File: January 31, 2012 - Corrected Format:PDF Size:43.72 KB
File: November 1, 2011 Format:PDF Size:78.29 KB
File: August 1, 2011 Format:PDF Size:77.08 KB
File: June 1, 2011 Format:PDF Size:72.89 KB
File: January 14, 2011 Format:PDF Size:71.05 KB
File: October 15, 2010 Format:PDF Size:111.69 KB
File: June 15, 2010 Format:PDF Size:83.44 KB
File: March 15, 2010 Format:PDF Size:38.36 KB
File: October 15, 2009 Format:PDF Size:88.85 KB
File: May 15, 2009 Format:PDF Size:72.03 KB
File: January 30, 2009 Format:PDF Size:13.41 KB
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