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ATS-N/UA

Form ATS-N/UA updating amendments

Form ATS-N/UA: an updating amendment to an NMS stock alternative trading system's Form ATS-N, required under Rule 304(a)(2)(i)(B).

Get free API keyQuery this dataset
686filings on EDGAR
2019first filed
84filed in 2026
2026-10-09latest filing
curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22ATS-N/UA%22&size=2"
import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"ATS-N/UA"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is ATS-N/UA?

Alternative trading systems that trade NMS stocks disclose their operations publicly on Form ATS-N under Regulation ATS Rule 304. Information that becomes inaccurate must be corrected at least each calendar quarter by an updating amendment, which EDGAR tags ATS-N/UA.

Updating amendments are the most common ATS-N amendment, with nearly 700 since 2019.

Who files

NMS stock alternative trading systems (dark pools and similar venues).

When it is filed

Within 30 days after the end of each calendar quarter, when information has become inaccurate.

Filings per year

Every ATS-N/UA filing on EDGAR, counted from the SecFeed index. Updated daily.

2019: 61 filings2020: 103 filings2021: 77 filings2022: 92 filings2023: 76 filings2024: 76 filings2025: 117 filings2026: 84 filings2019202020252026

What is inside

SectionContents
Changed itemsUpdated parts of the ATS-N, such as order types or fees.
Operator and affiliatesBroker-dealer operator information.

Get ATS-N/UA data with SecFeed

Search the filings with formType:"ATS-N/UA", read any document as text or PDF, and use these APIs for structured data:

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Latest ATS-N/UA filings

CompanyFormFiled
INTELLIGENT CROSS LLCATS-N/UA2026-10-09EDGAR ↗
BLUE OCEAN ATS, LLCATS-N/UA2026-10-08EDGAR ↗
GOLDMAN SACHS & CO. LLCATS-N/UA2026-10-07EDGAR ↗
CITIGROUP GLOBAL MARKETS INC.ATS-N/UA2026-10-05EDGAR ↗
BIDS TRADING L.P.ATS-N/UA2026-10-01EDGAR ↗
NATIONAL FINANCIAL SERVICES LLCATS-N/UA2026-09-29EDGAR ↗
INTELLIGENT CROSS LLCATS-N/UA2026-09-29EDGAR ↗
MORGAN STANLEY & CO. LLCATS-N/UA2026-09-25EDGAR ↗

Use cases

Related forms

ATS-NAlternative trading system disclosure

Form ATS-N disclosures of dark pools and other NMS stock alternative trading systems: order types, fees, segmentation and operator conflicts.

ATS-N/MAATS-N material amendment

Form ATS-N/MA: a material amendment to Form ATS-N, filed at least 30 days before a material change to an NMS stock ATS takes effect.

ATS-N/CAATS-N correcting amendment

Form ATS-N/CA: a correcting amendment to Form ATS-N, filed promptly to fix information that was inaccurate when filed.

FAQ

When is an ATS-N/UA filed?

No later than 30 days after quarter end, to update information that has become inaccurate.

What is an NMS stock ATS?

An alternative trading system, often called a dark pool, that trades exchange listed stocks.

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