Form ATS-N/CA Filings

What Is SEC Form ATS-N/CA?

SEC Form ATS-N/CA is a correcting amendment to Form ATS-N, filed when an NMS Stock ATS discovers that information previously disclosed on Form ATS-N was materially inaccurate or incomplete when filed. It is submitted promptly after discovery and updates the public Form ATS-N record.

Key elements typically found in SEC Form ATS-N/CA include:

• Name of the broker-dealer operator and the NMS Stock ATS
• Type of amendment (Correcting Amendment) and the applicable rule reference
• Part and item numbers are being corrected
• Summary of the corrections made
• EDGAR accession number of the filing being amended
• Certification/signature and related identifying details

SEC Form ATS-N/CA Filing Deadlines

SEC Form ATS-N/CA is event-driven and must be filed promptly after discovery that a prior Form ATS-N disclosure was materially inaccurate or incomplete when filed. These timing expectations are important to maintain accurate public disclosures.

Key Things to Know About Form ATS-N/CA Filing Rules

• Correcting Amendment Purpose: Form ATS-N/CA is used to correct information that was materially inaccurate or incomplete at the time it was filed on Form ATS-N.
• Event-Driven Timing: A correcting amendment is not tied to a fixed calendar deadline; it is filed promptly upon discovery of the issue.
• Public Disclosure Focus: Form ATS-N and its amendments are publicly available, and ATS-N/CA updates the public record that market participants rely on.
• Amends a Prior Filing: The filing identifies the specific prior Form ATS-N submission being amended and describes the corrections.
• Part and Item Identification: The amendment typically specifies which sections of Form ATS-N are being corrected and provides a summary of the changes.

For compliance teams and market participants, understanding Form ATS-N Filings and Information is essential to track initial filings, amendments, and cessation notices, all of which are publicly available through the SEC’s disclosure system, and our Research On SEC filings helps you track related forms like Form ATS-N/CA, Form ATS-N filings, and  Form ATS-N/MA material amendment filings.