Form ATS-N: alternative trading systems

XML as filed: ATS-N slash MA_sample.xml

<?xml version="1.0" encoding="UTF-8"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/atsn" xmlns:com="http://www.sec.gov/edgar/common" xmlns:ats="http://www.sec.gov/edgar/atsncommon" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="http://www.sec.gov/ … [25 more characters]
<!-- DISCLAIMER:  This is a sample XML submission document for demonstration purposes only and should not be copied verbatim as part of a submission. -->  
<!-- Please refer to the EDGAR ATS-N XML Technical Specification and the related EDGAR ATS-N Schemas for complete filer-constructed submission information.-->
<!-- Please be aware that these schema locations are for informational purposes only and should not be considered as required items in the EDGAR ATS-N Schema. -->
<!-- If a reference to a style sheet is included the submission will be suspended by EDGAR.  Please do not include any references to style sheets.-->
	<headerData>
		<submissionType>ATS-N/MA</submissionType>
		<accessionNumber>234567890-18-123456</accessionNumber>
		<filerInfo>
			<liveTestFlag>LIVE</liveTestFlag>
			<filer>
				<filerCredentials>
					<com:cik>234512345</com:cik>
					<com:ccc>dazzle#1</com:ccc>
				</filerCredentials>
				<fileNumber>013-00012</fileNumber>
			</filer>
			<contact>
				<ats:contactName>sdfsadf</ats:contactName>
				<ats:contactPhoneNumber>434343434</ats:contactPhoneNumber>
				<ats:contactEmailAddress>[email protected]</ats:contactEmailAddress>
			</contact>
			<notifications>
				<ats:notificationEmailAddress>[email protected]
				</ats:notificationEmailAddress>
			</notifications>
			<flags>
				<ats:overrideInternetFlag>true</ats:overrideInternetFlag>
				<ats:confirmingCopyFlag>false</ats:confirmingCopyFlag>
			</flags>
		</filerInfo>
	</headerData>
	<formData>
		<cover>
			<txNMSStockATSName>ATSSTOCK FOR MPID 7777777111</txNMSStockATSName>
			<rbOperatesPursuantToFormATS>N</rbOperatesPursuantToFormATS>
			<taStatementAboutAmendment>Details About ATSNMA
			</taStatementAboutAmendment>
		</cover>
		<partOne>
			<rbPart1Item1IsBd>Y</rbPart1Item1IsBd>
			<txPart1Item2ATSName>a</txPart1Item2ATSName>
			<txPart1Item4aBdFileNumber>008-100000</txPart1Item4aBdFileNumber>
			<txPart1Item4aBdCrdNumber>353454544</txPart1Item4aBdCrdNumber>
			<txPart1Item5aNsaFullName>assadasdasd</txPart1Item5aNsaFullName>
			<part1Item5bEffectiveMembershipDate>10/24/2018
			</part1Item5bEffectiveMembershipDate>
			<txtPart1Item5cNmsStockMPID>7777777111</txtPart1Item5cNmsStockMPID>
			<txtPart1Item6uwebsite>abc.org</txtPart1Item6uwebsite>
			<part1Item7PrimarySite>
				<ats:street1>fgfgdfg</ats:street1>
				<ats:city>fgdfg</ats:city>
				<ats:zip>23232323</ats:zip>
				<ats:state>US-HI</ats:state>
			</part1Item7PrimarySite>
			<cbPart1Item8Exhibit1atWebsite>true</cbPart1Item8Exhibit1atWebsite>
			<cbPart1Item9Exhibit2atWebsite>true</cbPart1Item9Exhibit2atWebsite>
		</partOne>
		<partTwo>
			<rbPart2Item1aArePermittedToEnterInterest>N
			</rbPart2Item1aArePermittedToEnterInterest>
			<rbPart2Item1dCanOATInterestBeRouted>N
			</rbPart2Item1dCanOATInterestBeRouted>
			<rbPart2Item2aAreAfflPermittedToEnterInterest>N
			</rbPart2Item2aAreAfflPermittedToEnterInterest>
			<rbPart2Item2dCanOATIBeRoutedByAffl>N
			</rbPart2Item2dCanOATIBeRoutedByAffl>
			<rbPart2Item3aCanSubscrOptOutWithOATIOfBD>N
			</rbPart2Item3aCanSubscrOptOutWithOATIOfBD>
			<rbPart2Item3aCanSubscrOptOutWithOATIOfAffl>N
			</rbPart2Item3aCanSubscrOptOutWithOATIOfAffl>
			<rbPart2Item4aAreThereArrangementsBtwBDAndTC>N
			</rbPart2Item4aAreThereArrangementsBtwBDAndTC>
			<rbPart2Item5aDoesOfferProductsAndServices>N
			</rbPart2Item5aDoesOfferProductsAndServices>
			<rbPart2Item5cDoesAfflOfferProductsAndServices>N
			</rbPart2Item5cDoesAfflOfferProductsAndServices>
			<rbPart2Item6aDoesEmployeeAccessConfidentialInfo>N
			</rbPart2Item6aDoesEmployeeAccessConfidentialInfo>
			<rbPart2Item6bDoesAnyEntitySupportServices>N
			</rbPart2Item6bDoesAnyEntitySupportServices>
			<taPart2Item7aDescrOfSafeGaurdsAndProcedures>a
			</taPart2Item7aDescrOfSafeGaurdsAndProcedures>
			<rbPart2Item7bCanSubscriberConsentToDisclosure>N
			</rbPart2Item7bCanSubscriberConsentToDisclosure>
			<taPart2Item7dSummaryOfRolesRespOfPersons>a
			</taPart2Item7dSummaryOfRolesRespOfPersons>
		</partTwo>
		<partThree>
			<taPart3Item1SubscriberType>Investment Companies
			</taPart3Item1SubscriberType>
			<rbPart3Item2aRegisteredBD>N</rbPart3Item2aRegisteredBD>
			<rbPart3Item2bIsThereOtherConditions>N
			</rbPart3Item2bIsThereOtherConditions>
			<rbPart3Item2dIsThereWrittenAgreement>Y
			</rbPart3Item2dIsThereWrittenAgreement>
			<rbPart3Item3aIsExcludeSubscriber>N
			</rbPart3Item3aIsExcludeSubscriber>
			<taPart3Item4aHrsOfOperation>a</taPart3Item4aHrsOfOperation>
			<rbPart3Item4bIsHrsOfOperationsame>Y
			</rbPart3Item4bIsHrsOfOperationsame>
			<rbPart3Item5aIsPermitOrdrTradng>N</rbPart3Item5aIsPermitOrdrTradng>
			<rbPart3Item5cIsAnyOtherMeans>N</rbPart3Item5cIsAnyOtherMeans>
			<rbPart3Item6aIsCoLocRltdSrvcsOfrd>N
			</rbPart3Item6aIsCoLocRltdSrvcsOfrd>
			<rbPart3Item6cIsAnyOtherMeans>N</rbPart3Item6cIsAnyOtherMeans>
			<rbPart3Item6eIsAnyRducdSpOfCom>N</rbPart3Item6eIsAnyRducdSpOfCom>
			<taPart3Item7AOrdrTypExplain>sdfsdfsdfsdf
			</taPart3Item7AOrdrTypExplain>
			<rbPart3Item7bIsTnCSameForAll>Y</rbPart3Item7bIsTnCSameForAll>
			<rbPart3Item8aIsMinOrMaxSizeReqd>N</rbPart3Item8aIsMinOrMaxSizeReqd>
			<rbPart3Item8cIsOddLotsAcptdExecutd>N
			</rbPart3Item8cIsOddLotsAcptdExecutd>
			<rbPart3Item8eIsMixLotOrdrsAcptdExecutd>N
			</rbPart3Item8eIsMixLotOrdrsAcptdExecutd>
			<rbPart3Item9aIsAnyMsgToIndicTI>N</rbPart3Item9aIsAnyMsgToIndicTI>
			<taPart3Item10aOpenReOpenDtls>a</taPart3Item10aOpenReOpenDtls>
			<rbPart3Item10bIsOpnReopnSameForAll>Y
			</rbPart3Item10bIsOpnReopnSameForAll>
			<taPart3Item10cUnexeOrdrTIDtls>a</taPart3Item10cUnexeOrdrTIDtls>
			<rbPart3Item10dIsAnyDifBtwnExeProcTrdHrs>Y
			</rbPart3Item10dIsAnyDifBtwnExeProcTrdHrs>
			<rbPart3Item10eIsAnyDifBtwnPreOpExecFlwngStpg>N
			</rbPart3Item10eIsAnyDifBtwnPreOpExecFlwngStpg>
			<taPart3Item11aStrucOfNmsStk>a</taPart3Item11aStrucOfNmsStk>
			<rbPart3Item11bIsMeansFeciltsSameForAll>Y
			</rbPart3Item11bIsMeansFeciltsSameForAll>
			<taPart3Item11cRulsProcsOfNmsStk>a</taPart3Item11cRulsProcsOfNmsStk>
			<rbPart3Item11dIsProcsRulsSameForAll>Y
			</rbPart3Item11dIsProcsRulsSameForAll>
			<rbPart3Item12aIsAnyFrmlInfrmlArngmnts>N
			</rbPart3Item12aIsAnyFrmlInfrmlArngmnts>
			<rbPart3Item13aIsOrdrTiSegmntd>N</rbPart3Item13aIsOrdrTiSegmntd>
			<rbPart3Item13cIsCustmrOrdr>N</rbPart3Item13cIsCustmrOrdr>
			<rbPart3Item14aIsDsgToIntrctOrNot>N
			</rbPart3Item14aIsDsgToIntrctOrNot>
			<rbPart3Item15aIsElectrncCommu>N</rbPart3Item15aIsElectrncCommu>
			<rbPart3Item15bIsSubScrbOrdBnd>N</rbPart3Item15bIsSubScrbOrdBnd>
			<part3Item16aAffirInstrDtls rbPart3Item16aIsInstRoutd="Y">
			<taPart3Item16bAffirmInstrDiffDtlsNo>Certain ATSs will be required to file detailed public disclosures on new Form ATS-N. These disclosures are designed to allow market participants to asses potential conflicts of interest and risks of i … [741 more characters]
			<rbPart3Item16bIsRoutdBefrInstr>N</rbPart3Item16bIsRoutdBefrInstr>
			</part3Item16aAffirInstrDtls>			<part3Item17aAffirInstrDtls
				rbPart3Item17aIsDiffBtwnOrdTITrtmnt="Y">
				<taPart3Item17aTrtmntDiffDtls>Certain ATSs will be required to file 
					detailed public disclosures on new Form ATS-N. These disclosures 
					are designed to allow market participants to asses potential 
					conflicts of interest and risks of information leakage arising from 
					the ATS-related activities of the ATS's broker-dealer operator and 
					its affiliates. The disclosures will also inform market 
					participants about how the ATS operates, including order types and 
					market data used on the ATS, fees, the ATS's execution and priority 
					procedures, and any procedures to segment orders on the ATS. Forms 
					ATS-N will be made publicly available on the Commission's website 
					via the Commission's Electronic Data Gathering, Analysis, and 
					Retrieval (EDGAR) system. The amendments also provide a process for 
					the Commission to review Form ATS-N filings and, after notice and 
					opportunity for hearing and upon certain findings, declare a Form 
					ATS-N ineffective.
				</taPart3Item17aTrtmntDiffDtls>

43 more lines not shown.

JSON from the API (format=json)

{
  "#order": [
    "headerData",
    "formData"
  ],
  "@xsi:schemaLocation": "http://www.sec.gov/edgar/atsn eis_ATSN.xsd",
  "formData": {
    "#order": [
      "cover",
      "partOne",
      "partTwo",
      "partThree",
      "partFour"
    ],
    "cover": {
      "#order": [
        "txNMSStockATSName",
        "rbOperatesPursuantToFormATS",
        "taStatementAboutAmendment"
      ],
      "rbOperatesPursuantToFormATS": "N",
      "taStatementAboutAmendment": "Details About ATSNMA",
      "txNMSStockATSName": "ATSSTOCK FOR MPID 7777777111"
    },
    "partFour": {
      "#order": [
        "txPart4ContactFirstName",
        "txPart4ContactLastName",
        "txPart4ContactTitle",
        "txPart4ContactEmail",
        "txPart4ContactTelephone",
        "part4PrimaryAddr",
        "txAsOfDate",
        "txSignatureName",
        "txSignatureTitle"
      ],
      "part4PrimaryAddr": {
        "#order": [
          "street1",
          "city",
          "zip",
          "state"
        ],
        "city": "dfgdfg",
        "state": "US-GA",
        "street1": "gdfg",
        "zip": "334234"
      },
      "txAsOfDate": "10/24/2018",
      "txPart4ContactEmail": "[email protected]",
      "txPart4ContactFirstName": "cvbcvb",
      "txPart4ContactLastName": "cvbcvb",
      "txPart4ContactTelephone": "24324234234",
      "txPart4ContactTitle": "fdgdfgdfg",
      "txSignatureName": "sdsdfdf",
      "txSignatureTitle": "eterterter"
    },
    "partOne": {
      "#order": [
        "rbPart1Item1IsBd",
        "txPart1Item2ATSName",
        "txPart1Item4aBdFileNumber",
        "txPart1Item4aBdCrdNumber",
        "txPart1Item5aNsaFullName",
        "part1Item5bEffectiveMembershipDate",
        "txtPart1Item5cNmsStockMPID",
        "txtPart1Item6uwebsite",
        "part1Item7PrimarySite",
        "cbPart1Item8Exhibit1atWebsite",
        "cbPart1Item9Exhibit2atWebsite"
      ],
      "cbPart1Item8Exhibit1atWebsite": "true",
      "cbPart1Item9Exhibit2atWebsite": "true",
      "part1Item5bEffectiveMembershipDate": "10/24/2018",
      "part1Item7PrimarySite": {
        "#order": [
          "street1",
          "city",
          "zip",
          "state"
        ],
        "city": "fgdfg",
        "state": "US-HI",
        "street1": "fgfgdfg",
        "zip": "23232323"
      },
      "rbPart1Item1IsBd": "Y",
      "txPart1Item2ATSName": "a",
      "txPart1Item4aBdCrdNumber": "353454544",
      "txPart1Item4aBdFileNumber": "008-100000",
      "txPart1Item5aNsaFullName": "assadasdasd",
      "txtPart1Item5cNmsStockMPID": "7777777111",
      "txtPart1Item6uwebsite": "abc.org"
    },
    "partThree": {
      "#order": [
        "taPart3Item1SubscriberType",
        "rbPart3Item2aRegisteredBD",
        "rbPart3Item2bIsThereOtherConditions",
        "rbPart3Item2dIsThereWrittenAgreement",
        "rbPart3Item3aIsExcludeSubscriber",
        "taPart3Item4aHrsOfOperation",
        "rbPart3Item4bIsHrsOfOperationsame",
        "rbPart3Item5aIsPermitOrdrTradng",
        "rbPart3Item5cIsAnyOtherMeans",
        "rbPart3Item6aIsCoLocRltdSrvcsOfrd",
        "rbPart3Item6cIsAnyOtherMeans",
        "rbPart3Item6eIsAnyRducdSpOfCom",
        "taPart3Item7AOrdrTypExplain",
        "rbPart3Item7bIsTnCSameForAll",
        "rbPart3Item8aIsMinOrMaxSizeReqd",
        "rbPart3Item8cIsOddLotsAcptdExecutd",
        "rbPart3Item8eIsMixLotOrdrsAcptdExecutd",
        "rbPart3Item9aIsAnyMsgToIndicTI",
        "taPart3Item10aOpenReOpenDtls",
        "rbPart3Item10bIsOpnReopnSameForAll",
        "taPart3Item10cUnexeOrdrTIDtls",
        "rbPart3Item10dIsAnyDifBtwnExeProcTrdHrs",
        "rbPart3Item10eIsAnyDifBtwnPreOpExecFlwngStpg",
        "taPart3Item11aStrucOfNmsStk",
        "rbPart3Item11bIsMeansFeciltsSameForAll",
        "taPart3Item11cRulsProcsOfNmsStk",
        "rbPart3Item11dIsProcsRulsSameForAll",
        "rbPart3Item12aIsAnyFrmlInfrmlArngmnts",
        "rbPart3Item13aIsOrdrTiSegmntd",
        "rbPart3Item13cIsCustmrOrdr",
        "rbPart3Item14aIsDsgToIntrctOrNot",
        "rbPart3Item15aIsElectrncCommu",
        "rbPart3Item15bIsSubScrbOrdBnd",
        "part3Item16aAffirInstrDtls",
        "part3Item17aAffirInstrDtls",
        "rbPart3Item17bIsTrtmntSameForAll",
        "rbPart3Item18aIsOutsdeTrdingHrs",
        "taPart3Item19aSrvcUsgFees",
        "taPart3Item19bBundldSrvcUsgFees",
        "taPart3Item19cRbtDiscOfFees",
        "taPart3Item20aSuspndProcdur",
        "rbPart3Item20bIsSuspndProcdurSameFrAll",
        "taPart3Item21aMtrlArngmntDtls",
        "rbPart3Item21bIsMtrlArngmtSameFrAll",
        "taPart3Item22aMtrlArngmntDtls",
        "rbPart3Item22bIsMtrlArngmtSameFrAll",
        "taPart3Item23aMrktDatSrc",
        "rbPart3Item23bIsSrcSameFrAll",
        "rbPart3Item24aIsSubScrbrOrdr",
        "rbPart3Item25aIsAvgDlyTradinVolExcd",
        "rbPart3Item26IsOrdrFloExecStatsPublshd"
      ],
      "part3Item16aAffirInstrDtls": {
        "#order": [
          "taPart3Item16bAffirmInstrDiffDtlsNo",
          "rbPart3Item16bIsRoutdBefrInstr"
        ],
        "@rbPart3Item16aIsInstRoutd": "Y",
        "rbPart3Item16bIsRoutdBefrInstr": "N",
        "taPart3Item16bAffirmInstrDiffDtlsNo": "Certain ATSs will be required to file detailed public disclosures on new Form ATS-N. These disclosures are designed to allow market participants to asses potential conflicts of interest and ri … [712 more characters]
      },
      "part3Item17aAffirInstrDtls": {
        "@rbPart3Item17aIsDiffBtwnOrdTITrtmnt": "Y",
        "taPart3Item17aTrtmntDiffDtls": "Certain ATSs will be required to file \n\t\t\t\t\tdetailed public disclosures on new Form ATS-N. These disclosures \n\t\t\t\t\tare designed to allow market participants to asses potential \n\t\t\t\t\ … [873 more characters]

140 more lines not shown.