English
Chinese (Traditional)
Russian
Spanish
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