Form ATS-N Files Dataset

Form ATS-N filings are disclosure reports required under Rule 304 of Regulation ATS for alternative trading systems that transact in NMS stocks. The form requires an NMS Stock ATS to publicly disclose information about its manner of operations, the broker-dealer operator, and the ATS-related activities of the broker-dealer operator and its affiliates, enabling market participants to evaluate order handling, conflicts of interest, and information leakage risks. The dataset includes all Form ATS-N filings submitted to EDGAR from May 2019 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files; this covers the primary Form ATS-N document and any exhibits filed by the reporting entity. Each filing typically contains identifying information for the NMS Stock ATS and its broker-dealer operator, narrative disclosures regarding subscriber types, order types, matching methodologies, segmentation and tiering practices, fees, market data usage, and descriptions of any affiliate activities and safeguards against misuse of confidential trading information.

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