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Liquidnet, Inc. – ‘ATS-N/MA’ from 11/2/22 – ‘COVER PAGE’

On:  Wednesday, 11/2/22, at 3:40pm ET   ·   As of:  11/1/22   ·   Delayed-Release:  Filing  –  Release Delayed   ·   Accession #:  1110644-22-51   ·   File #:  13-00107

Previous ‘ATS-N/MA’:  ‘ATS-N/MA’ on 3/17/22   ·   Next & Latest:  ‘ATS-N/MA’ on 11/2/22   ·   2 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

11/01/22  Liquidnet, Inc.                   ATS-N/MA11/02/22    1:3K

Material Amendment   —   Form ATS-N   —   Rule 304(a)(2)(i)(A)   —   Delayed-Release

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: COVER PAGE  Cover Page -- coverpage.xml                         HTML      4K 




        

This ‘COVER PAGE’ Document is an XML Data File that may be rendered in various formats:

  Form ATS-N    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Cover Page
 

Type of Filing (select one)
Does the NMS Stock ATS currently operate pursuant to a Form ATS?Radio button not checked  Yes Radio button checked  No
Provide the EDGAR accession number for the Form ATS-N filing to be amended:
Filer CIK
0001110644
Filer CCC
********  
File No:
013-00107
Liquidnet Negotiation ATS is making this filing pursuant to Rule 304 under the Securities Exchange Act of 1934
Statement about the Form ATS-N Amendment pursuant to Instruction A.7 (g) of this form.
This material amendment is being made to the Form ATS-N for the Liquidnet Negotiation ATS, operated by Liquidnet, Inc. Please note that this material amendment applies to all subscribers of the Liquidnet Negotiation ATS and to the overall broker-dealer operator, Liquidnet, Inc. This material amendment is being made to Part II Section 7a of the Form ATS-N. This material amendment provides details on changes being made to the Liquidnet Employee Trading Policy.
Is this a LIVE or TEST Filing? Radio button checked LIVE Radio button not checked TEST
Is this an electronic copy of an official filing submitted in paper format in connection with a hardship exemption? Checkbox not checked
Confirming Copy File Number

Notification Information

Notify via Filing Website only?Checkbox not checked


1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/16/22  Liquidnet, Inc.                   ATS-N/UA12/01/22    8:1.9M


1 Previous Filing that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/21/22  Liquidnet, Inc.                   ATS-N/UA7/25/22    8:1.3M
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Filing Submission 0001110644-22-000051   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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