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SECURITIES AND EXCHANGE COMMISSIONER ASN/Failing Date: 20191010SEC Accession No. 000090266419003958 (HTML Version on secdatabase.com)FILER INTERACTIVE BROKERS LLC CIK:922792| IRS No.: 133863700 |

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How to fill out form ats-n filings and

01

Obtain a copy of the ATS-N form from the SEC website.

02

Fill in the required information in the designated fields on the form.

03

Attach any additional documentation or exhibits as necessary.

04

Review the filled-out form for accuracy and completeness.

05

Submit the completed form ATS-N filings to the SEC according to their instructions.

Who needs form ats-n filings and?

01

Investment companies that are subject to Regulation ATS are required to file Form ATS-N with the SEC.

02

This includes entities that operate alternative trading systems (ATS) or trading platforms for securities.

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What is form ats-n filings and?

Form ATS-N is a regulatory filing required by the Securities and Exchange Commission (SEC) for alternative trading systems (ATS) to disclose information about their operations, structure, and the types of securities they trade.

Who is required to file form ats-n filings and?

Operators of alternative trading systems that trade securities and meet certain criteria are required to file Form ATS-N.

How to fill out form ats-n filings and?

Form ATS-N must be filled out by providing detailed information about the trading system, including trading operations, ownership structure, and compliance with regulatory requirements. Specific instructions can be found in the SEC's guidelines.

What is the purpose of form ats-n filings and?

The purpose of Form ATS-N filings is to enhance transparency in the operation of alternative trading systems, allowing regulators and the public to better understand the trading activities and practices of these platforms.

What information must be reported on form ats-n filings and?

Information required on Form ATS-N includes details about the ATS's business model, ownership, operational processes, types of securities traded, and compliance with relevant regulations.

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