Regulatory Filings

  • Form ATS-N
  • Form ATS-N Exhibits
    1. Exhibit 1 – the most recently filed or amended Schedule A of Form BD for the Broker-Dealer Operator disclosing information related to direct owners and executive officers.
    2. Exhibit 2 – the most recently filed or amended Schedule B of Form BD for the Broker-Dealer Operator disclosing information related to indirect owners.