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Alternative Trading System ("ATS") List

January 2009 - January 2018

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. 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.

For technical questions regarding the Web site, send an e-mail message to webmaster@sec.gov. For additional information about the data, contact the Office of Interpretation and Guidance, Division of Trading and Markets at 202-551-5777 or tradingandmarkets@sec.gov.

Data Downloads

File
Format
Size
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 Format:PDF Size:78.49 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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