ATS-N/CA: Filer Information
Filer CIK | 0001110644 |
Filer CCC |
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File No: | 013-00107 |
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Statement about the Form ATS-N Amendment pursuant to Instruction A.7 (g) of this form. | LNI submits this Correcting Amendment filed April 23, 2024, which amends Part II, Items 1, 2, 3, 5, 6, 7, and Part III, Items 2, 3, 7, 8, 9, 10, 11, 15, 20, and 23 of its Form ATS-N. Specifically, LNI is correcting typographical errors and for consistency. LNI is amending Part II, Items 3, 5, and 7 and Part II, Items 2 and 14 to reflect that Liquidnet Capital Markets is no longer a department of the Firm. LNI is amending Part II, Item 2 to reflect the change in the name of the Canadian regulator from the Investment Inventory Regulatory Organization of Canada to the Canadian Investment Regulatory Organization. LNI is amending Part II, Item 7 to reflect changes in the categories of Person that have access to confidential trading information. LNI is amending Part III, Item 2 to reflect the deletion of language regarding Outsourced dealing service provider as this is not an offering of Negotiation ATS but a global offering of foreign affiliates of LNI. LNI is amending Part III, Item 26 from a Yes to a NO to reflect that the LNI is no longer providing such information to subscribers. LNI is amending Part II, Item 7,Neg ITM2 7d to correct typographical errors and for consistency. LNI amends Exhibits 1 and 2 of its Form ATS-N (Schedules A & B of LNIs Form BD) to reflect changes formatting changes to the Exhibits. The changes in this Amendment apply to all Subscribers and the Broker-Dealer Operator. LNI amends Exhibit 2 of its Form ATS-N (Schedule B of LNIs Form BD) to reflect changes to Indirect Owners of LNI. This change in this Amendment applies only to the Broker-Dealer Operator and not to Subscribers. |