Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934

Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act. Rule 6a-4 permits respondents to make certain information available on the Internet and to notify the Commission of its web location. The Internet has developed the potential to ease compliance burdens for respondents and increase the speed, accuracy, and availability of information, generating benefits to investors and financial markets. SEC staff is considering ways to reduce respondents’ paperwork burden, including using electronic means to submit Form 1-N.

The latest form for Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 expires 2029-05-31 and can be found here.

Rule 6a-4 and Form 1-N

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.