On a Different Scale

Liquidnet, Inc.

  • Form ATS - Negotiation

  • Form ATS - H2O

    Liquidnet is making publicly available copies of the most recent restated Form ATSs for its Negotiation and H2O ATSs. The publicly available copies of the filings include the exhibits to the Form ATSs but exclude the annexes referenced in the exhibits to the Form ATSs. Going forward, Liquidnet intends to make publicly available future restatements of its Form ATSs but not Form ATS amendments that do not restate the then-current Form ATSs. It is Liquidnet’s current practice to file a restated Form ATS for each ATS on approximately a quarterly basis.
  • Investment Protection Principles

    Liquidnet fully supports the Investment Protection Principles made effective July 1, 2002, by the states of North Carolina and New York and has adopted these principles as they apply to Liquidnet's business
  • SEC Rule 606 Quarterly Reports

    Liquidnet's most recent required quarterly report on routing of customer orders, in accordance with the Securities and Exchange Commission (SEC) Rule Number 606, is listed below.
  • Monthly Order Execution Reports

    Liquidnet's monthly order execution reports, in accordance with the Securities and Exchange Commission (SEC) Rule Number 605

Liquidnet Europe Limited

Liquidnet Canada Inc.

Liquidnet Asia Limited.

Liquidnet Australia PTY LTD.

Disclaimers

© 2017 Liquidnet Holdings, Inc. and its subsidiaries. Liquidnet, Inc. is a member of FINRA/SIPC. Liquidnet Europe Limited is authorized and regulated by the Financial Conduct Authority in the UK, is licensed by the Financial Services Board in South Africa, and is a member of the London Stock Exchange and a remote member of the Warsaw Stock Exchange and SIX Swiss Exchange. Liquidnet Canada Inc. is a member of the Investment Industry Regulatory Organization of Canada and a member of the Canadian Investor Protection Fund. Liquidnet Asia Limited is regulated by the Hong Kong Securities and Futures Commission as a licensed dealer and a provider of automated trading services pursuant to the Securities and Futures Ordinance and is regulated by the Monetary Authority of Singapore as a Recognized Market Operator. Liquidnet Japan Inc. is regulated by the Financial Services Agency of Japan and is a member of JSDA/JIPF. Liquidnet Australia Pty Ltd. is registered with the Australian Securities and Investment Commission as an Australian Financial Services Licensee, AFSL number 312525, and is registered with the New Zealand Financial Markets Authority as a Financial Service Provider, FSP number FSP3781.

 

 

 

 

 

Liquidnet Canada Inc. is regulated by the Investment Industry Regulatory Organization of Canada (IIROC).  IIROC’s main website is www.iiroc.ca.

*Some information or offerings may not be applicable to specific regions, due to solutions or services not being offered in those regions and/or where information is not relevant for a particular market. Please contact us for further information.

** Statistics accurate for 2015.

*** Since October 2012.

 As of 1H 2016.