Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act

Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act

What Is Form 1 (SEC Form 1935)?

This is a legal form that was released by the U.S. Securities and Exchange Commission on February 1, 1999 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is Form 1 (SEC Form 1935)?
A: Form 1 (SEC Form 1935) is an application for registration as a national securities exchange or for exemption from registration pursuant to Section 5 of the Exchange Act.

Q: What is the Exchange Act?
A: The Exchange Act refers to the Securities Exchange Act of 1934, which regulates securities transactions and exchanges in the United States.

Q: Who should use Form 1?
A: Form 1 should be used by organizations or entities that want to apply for registration as a national securities exchange or seek exemption from registration.

Q: What information is required on Form 1?
A: Form 1 requires various information about the organization, its purpose, structure, operations, and compliance with securities laws.

Q: Why would an organization apply for registration as a national securities exchange?
A: An organization may apply for registration as a national securities exchange to facilitate the trading of securities and provide a fair and orderly market.

Q: What is the purpose of seeking exemption from registration?
A: Seeking exemption from registration allows organizations to operate as alternative trading systems that do not meet the criteria for national securities exchanges.

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Form Details:

  • Released on February 1, 1999;
  • The latest available edition released by the U.S. Securities and Exchange Commission;
  • Easy to use and ready to print;
  • Yours to fill out and keep for your records;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form 1 (SEC Form 1935) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.

Download Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act

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  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 1
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 2
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 3
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 4
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 5
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 6
  • Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act, Page 7
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