ATS Registration

An Alternative Trading System (ATS) is an exchange under law but is exempted from registration owing to an exemption under Exchange Act Rule 3a1-1(a). The ATS must, however, comply with Rules 300-303 of Regulation ATS. An ATS must first register as a Broker-Dealer and then also file an initial operation report with the SEC on Form ATS before commencing operations. The SEC maintains a list of ATS on its website.

The team at Empire Global can assist you with the process of establishing and running an ATS which includes:

  • Assistance in registration as a Broker-Dealer and as an ATS
  • Designing the necessary business and operations plan
  • Creation of AML/KYC Policies
  • Assistance in the recruitment of qualified professionals for running the operations
  • Assistance in the recruitment of qualified professionals for running the operations
  • Registration in all US States and Territories
  • Assistance in the submission of the necessary documentation with regulators