Today is December 12, 2017

Operator of an ATS – Either With Existing Broker/IH or GSED License

DOCUMENT TYPE DESCRIPTION DUE DATE
ATS Form 2 ATS Initial Operation Report At least twenty (20) days prior to commencing operations as an ATS
ATS Form 2A ATS Change in Operation Report Not later than ten (10) calendar days prior to implementation of a material change in operation. (Amended by Section 10 of SEC MC No. 3, Series of 2007).
ATS Form 3 ATS Annual Report Within one hundred five (105) days from the end of its fiscal year.
ATS Form 4 ATS Cessation of Operation Report Within ten (10) calendar days before cessation of operation.
ATS Form 5 ATS Change in the System Report Within ten (10) calendar days before change in the system.
ATS Form 6 ATS System Error Report Within twenty four (24) hours after system error or upgrade.