Form 1 Form 1

United States Securities and Exchange Commission
Washington, DC 20549
Form 1 Application for, and Amendments to Application for, Registration as a National
Securities Exchange or Exemption from Registration, and Supplemental Materials and
Reports
WARNING: Failure to keep this form current and to file accurate supplementary information on
a timely basis, or the failure to keep accurate books and records or otherwise comply with the
provisions of law applying to the conduct of the exchange would violate the Federal securities
laws and may result in disciplinary, administrative, or criminal action.
INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE
CRIMINAL VIOLATIONS.
{Name of entity} is making this filing pursuant to the following Rule: (select one)
Rule 6a-1 Application
Initial (select type of application)
National Securities Exchange
Exemption from registration based on limited volume
Rule 6a-1(b),(c) or (d) Amendment to Application – Amendment ####
Consent to Extension of Time
 Date Extension Expires: mm/dd/yyyy
Withdrawal of Application
Rule 6a-2(a) Amendment to Registration
Effective date of action taken: mm/dd/yyyy
Rule 6a-2(b) Annual Filing
Rule 6a-2(c) Triennial Filing for Year: YYYY
Rule 6a-3(a) Supplemental Materials
Rule 6a-3(b) Report of securities sold during calendar month
Section I: – Entity Contact Information
Check Box if there is a change in information previously filed.
1. Primary Street Address (Do not use a P.O. Box)
Street: __________________________________
City______________________, State_______ Zip Code__________

2. Mailing Address:

Same as above

Street: ____________________________
City______________________, State_______ Zip Code__________
3. Business Telephone (
4. Facsimile (

) ____-_______

) ____-_______

5. Fiscal Year End: mm/dd
6. Legal Status (select one)
Sole Proprietorship
Corporation
Partnership
Limited Liability Company
Other (Specify):_________________________
If other than a sole proprietor, please provide the following:
a) Date exchange obtained legal status (e.g. date of incorporation):

mm/dd/yyyy

b) State/Country of formation: {pick list}
c) Statute under which exchange was organized: ______________________
Section II: – Name and address of Counsel for (Entity Name)
Name of Firm:
First Name:
Last Name:
Title:
Street: ____________________________
City______________________, State_______ Zip Code__________
Email:
Section III – Rule 6a-3(a) (select one)
Provide all supplemental materials required under Rule 6a-3(a)(1) (including notices,
circulars, bulletins, lists and periodicals) issued or made generally available to members of,
or participants or subscribers to, the exchange. Such material shall be filed with the
Commission within 10 days after issuing or making such material available to members,
participants or subscribers.
In lieu of filing the supplemental material required under Rule 6a-3(a)(1) the {entity}
certifies that such information is available continuously at the internet website indicated
below and is free and accessible (without any encumbrances or restrictions) by the general

public, and further certifies that the site is controlled by the exchange and the information is
accurate as of the date of this filing.
Please enter URL(s): _______________________________________
Section IV – Rule 6a-3(b)
Rule 6a-3(b) requires that within 15 days after the end of each calendar month, a national
securities exchange or an exchange exempted from such registration based on limited volume,
shall file a report concerning the securities sold on such exchange during the calendar month.
The report shall set forth:
(1) The number of shares of stock sold and the aggregate dollar amount of such stock sold;
(2) The principal amount of bonds sold and the aggregate dollar amount of such bonds sold;
and
(3) The number of rights and warrants sold and the aggregate dollar amount of such rights
and warrants sold.
Report of securities sold during calendar month ended mm/dd/yyyy
Section V – Exhibits
Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

Exhibit A:
A copy of the
constitution, articles of
incorporation or
association with all
subsequent
amendments, and of
existing by-laws or
corresponding rules or
instruments, whatever
the name, of the
exchange.

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #

Rule 6a2(d)(2) –
Available
upon
request

Rule 6a-2(d)(3) – Available
via internet website

In lieu of
filing
{entity}
certifies that
the
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Rule 6a2(d)(2) –
Available
upon
request
public upon
request.

Rule 6a-2(d)(3) – Available
via internet website

Exhibit B:
A copy of all written
rulings, settled
practices having the
effect of rules, and
interpretations of the
Governing Board or
other committee of the
exchange in respect of
any provisions of the
constitution, by-laws,
rules, or trading
practices of the
exchange which are
not included in Exhibit
A.

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

In lieu of
filing
{entity}
certifies that
the
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Exhibit C:
For each subsidiary or
affiliate of the exchange,
and for any entity with
whom the exchange has
a contractual or other
agreement relating to
the operation of an

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the

In lieu of
filing
{entity}
certifies that
the
information
requested
under this

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

electronic trading
system to be used to
effect transactions on
the exchange
(“System”), provide the
following information:
1. Name and address of
organization.
2. Form of organization
(e.g., association,
corporation,
partnership, etc.).
3. Name of state and
statute citation under
which organized.
Date of incorporation
in present form.
4. Brief description of
nature and extent of
affiliation.
5. Brief description of
business or functions.
Description should
include
responsibilities with
respect to operation
of the System and/or
execution, reporting,
clearance, or
settlement of
transactions in
connection with
operation of the
System.
6. A copy of the
constitution.
7. A copy of the articles
of incorporation or

publication
date:
Name of
Publication:
Name
Address
Telephone #
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Rule 6a2(d)(2) –
Available
upon
request
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

Rule 6a-2(d)(3) – Available
via internet website
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

association including
all amendments.
8. A copy of existing bylaws or
corresponding rules
or instruments.
9. The name and title of
the present officers,
governors, members
of all standing
committees, or
persons performing
similar functions.
10. An indication of
whether such
business or
organization ceased
to be associated with
the exchange during
the previous year,
and a brief statement
of the reasons for
termination of the
association.
Exhibit D:
For each subsidiary or
affiliate of the exchange,
provide unconsolidated
financial statements for
the latest fiscal year.
Such financial
statements shall consist,
at a minimum, of a
balance sheet and an
income statement with
such footnotes and other

Not Applicable

Rule 6a2(d)(2) –
Available
upon
request

Not
Applicable

Rule 6a-2(d)(3) – Available
via internet website

Not Applicable

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

disclosures as are
necessary to avoid
rendering the financial
statements misleading.
If any affiliate or
subsidiary is required
by another Commission
rule to submit annual
financial statements, a
statement to that effect,
with a citation to the
other Commission rule,
may be provided in lieu
of the financial
statements required
here.
Exhibit E:
Describe the manner of
operation of the System.
This description should
include the following:
1. The means of access
to the System.
2. Procedures
governing the entry
and display of
quotations and
orders in the System.
3. Procedures
governing the
execution, reporting,
clearance and
settlement of
transactions in
connection with the
System.

Not Applicable

Rule 6a2(d)(2) –
Available
upon
request

Not
Applicable

Rule 6a-2(d)(3) – Available
via internet website

Not Applicable

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

4. Proposed fees.
5. Procedures for
ensuring compliance
with System usage
guidelines.
6. The hours of
operation of the
System, and the date
on which exchange
intends to commence
operation of the
System.
7. Attach a copy of the
users’ manual.
8. If exchange proposes
to hold funds or
securities on a
regular basis,
describe the controls
that will be
implemented to
ensure safety of those
funds or securities.
Exhibit F:
A complete set of all
forms pertaining to:
1. Application for
membership,
participation, or
subscription to the
entity.
2. Application for
approval as a
person associated
with a member,
participant, or

Not Applicable

Rule 6a2(d)(2) –
Available
upon
request

Not
Applicable

Rule 6a-2(d)(3) – Available
via internet website

Not Applicable

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

subscriber of the
entity.
3. Any other similar
materials.

Rule 6a2(d)(2) –
Available
upon
request

Rule 6a-2(d)(3) – Available
via internet website

Exhibit G:
A complete set of all
forms of financial
statements, reports, or
questionnaires required
of members, participants,
subscribers, or any other
users relating to financial
responsibility or
minimum capital
requirements for such
members, participants,
or any other users.
Provide a table of
contents listing the forms
included in this Exhibit
G.

Not Applicable

Not
Applicable

Not Applicable

Exhibit H:
A complete set of
documents comprising
the exchange’s listing
applications, including
any agreements required
to be executed in
connection with listing
and a schedule of listing
fees. If the exchange
does not list securities,
provide a brief
description of the criteria
used to determine what

Not Applicable

Not
Applicable

Not Applicable

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

securities may be traded
on the exchange. Provide
a table of contents listing
the forms included in this
Exhibit H.
Exhibit I:
For the latest fiscal year
of the exchange, audited
financial statements
which are prepared in
accordance with, or in
the case of a foreign
exchange, reconciled
with, United States
generally accepted
accounting principles,
and are covered by a
report prepared by an
independent public
accountant. If an
exchange has no
consolidated subsidiaries,
it shall file audited
financial statements
under Exhibit I alone
and need not file a
separate unaudited
financial statement for
the exchange under
Exhibit D.
Exhibit J:
A list of the officers,
governors, members of
all standing committees,
or persons performing

Not Applicable

In lieu of
filing {entity}
certifies that
the information
may be

Rule 6a2(d)(2) –
Available
upon
request

Rule 6a-2(d)(3) – Available
via internet website

Not
Applicable

Not Applicable

In lieu of
filing
{entity}
certifies that
the

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

similar functions, who
presently hold or have
held their offices or
positions during the
previous year, indicating
the following for each:
1. Name.
2. Title.
3. Dates of
commencement and
termination of term
of office or position.
4. Type of business in
which each is
primarily engaged
(e.g., floor broker,
specialist, odd lot
dealer, etc.).

obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Exhibit K:
This Exhibit is applicable
only to exchanges that
have one or more
owners, shareholders, or
partners that are not also
members of the
exchange. If the exchange
is a corporation, please
provide a list of each
shareholder that directly
owns 5% or more of a
class of a voting security
of the exchange. If the
exchange is a
partnership, please
provide a list of all
general partners and
those limited and special

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #

Rule 6a2(d)(2) –
Available
upon
request
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

In lieu of
filing
{entity}
certifies that
the
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

Rule 6a-2(d)(3) – Available
via internet website
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

partners that have the
right to receive upon
dissolution, or have
contributed, 5% or more
of the partnership’s
capital. For each of the
persons listed in the
Exhibit K, please provide
the following:
1. Full legal name;
2. Title or Status;
3. Date title or status
was acquired;
4. Approximate
ownership interest;
and
5. Whether the person
has control, a term
that is defined in the
instructions to this
Form.

Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Exhibit L:
Describe the exchange’s
criteria for membership
in the exchange.
Describe conditions
under which members
may be subject to
suspension or
termination with regard
to the exchange.
Describe procedures
that will be involved in
the suspension or
termination of a
member.

Not Applicable

Rule 6a2(d)(2) –
Available
upon
request

Not
Applicable

Rule 6a-2(d)(3) – Available
via internet website

Not Applicable

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

Exhibit M:
Provide an alphabetical
list of all members,
participants, subscribers
or other users, including
the following
information:
1. Name;
2. Date of election to
membership or
acceptance as a
participant,
subscriber or other
user;
3. Principal business
address and
telephone number;
4. If member,
participant,
subscriber or other
user is an individual,
the name of the entity
with which such
individual is
associated and the
relationship of such
individual to the
entity (e.g. partner,
officer, director,
employee, etc.);
5. Describe the type of
activities primarily
engaged in by the
member, participant,
subscriber, or other
user (e.g. floor

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Rule 6a2(d)(2) –
Available
upon
request

In lieu of
filing
{entity}
certifies that
the
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

Rule 6a-2(d)(3) – Available
via internet website

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

broker, specialist,
odd lot dealer, other
market maker,
proprietary trader,
non-broker dealer,
inactive or other
functions). A person
shall be “primarily
engaged” in an
activity or function
for purposes of this
item when that
activity or function is
the one in which that
person is engaged for
the majority of their
time. When more
than one type of
person at an entity
engages in any of the
six types of activities
or functions
enumerated in this
item, identify each
type (e.g.
proprietary, trader,
Registered
Competitive Trader
and Registered
Competitive Market
Maker) and state the
number of members,
participants,
subscribers, or other
users in each; and
6. The class of
membership,
participation or

Rule 6a2(d)(1) –
Available by
publication

Rule 6a2(d)(2) –
Available
upon
request

Rule 6a-2(d)(3) – Available
via internet website

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

subscription or other
access.
Exhibit N:
Provide a schedule for
each of the following:
1. The securities listed
in the exchange,
indicating for each
the name of the
issuer and a
description of the
security;
2. The securities
admitted to unlisted
trading privileges,
indicating for each
the name of the
issuer and a
description of the
security;
3. The unregistered
securities admitted to
trading on the
exchange which are
exempt from
registration under
Section 12(a) of the
Act. For each
security listed,
provide the name of
the issuer and a
description of the
security, and the
statutory exemption
claimed (e.g. Rule
12a-6); and

In lieu of
filing {entity}
certifies that
the information
may be
obtained below
and is accurate
as of the
publication
date:
Name of
Publication:
Name
Address
Telephone #
Price of
Publication
$___
Date of
Publication:
mm/dd/yyyy

Rule 6a2(d)(2) –
Available
upon
request

In lieu of
filing
{entity}
certifies that
the
information
requested
under this
exhibit is
kept up to
date and is
available to
the
Commission
and the
public upon
request.

Rule 6a-2(d)(3) – Available
via internet website

In lieu of filing {entity}
certifies that the information
requested under this exhibit
is continuously available at
the internet website below,
which is controlled by
{entity}, and the information
is accurate as of the date of
this filing and is free and
accessible (without any
encumbrances or
restrictions) by the general
public
URL(s):

Alternative Means of Filing Certain Exhibits in Annual
(Exhibits K, M, N) and Triennial (Exhibits A, B, C, J) Filings
Information Required by
the Exhibit

Rule 6a2(d)(1) –
Available by
publication

4. Other securities
traded on the
exchange, including
for each the name of
the issuer and a
description of the
security.

Rule 6a2(d)(2) –
Available
upon
request

Rule 6a-2(d)(3) – Available
via internet website

Section VI – Contact Employee Information
Provide the following information of the person at {entity name} prepared to respond to
questions for this submission:
First Name:
Last Name:
Title:
Email:
Telephone:
Section VII – Consent to Service and Attestation
By checking this box, {Name of Entity} consents that service of any civil action brought by, or
notice of any proceeding before, the Securities and Exchange Commission in connection with the
exchange’s activities may be given to the contact employee by registered or certified mail at the
main address, or mailing address if different, given in Section I above; and represents that the
information and statements contained herein, including exhibits, schedules, or other documents
attached hereto, and other information filed herewith, all of which are made a part hereof, are
current, true, and complete.
Form 1 General Instructions
A.

Use of the Form

Form 1 is the form used by: (a) an applicant for registration as a national securities exchange
under Section 6 of the Securities Exchange Act of 1934 (“Exchange Act”) or for an exemption
from registration pursuant to Section 5 of the Exchange Act by reason of the limited volume of
transactions effected on such exchange (“applicant”) to provide to the Securities and Exchange
Commission (“SEC” or “Commission”) specific items of information about the applicant and its
operations, or to amend such application, as required under Rule 6a-1; and (b) a national
securities exchange (“registered exchange”) or an exchange exempted from such registration by

reason of the limited volume of transactions effected on such exchange (“exempt exchange”)
uses to provide the information required by Rule 6a-2 and Rule 6a-3.
Filings on Form 1 submitted pursuant to Rule 6a-1, Rule 6a-2 or Rule 6a-3 of the Exchange Act
shall be filed in an electronic format on the Commission’s Electronic Data Gathering, Analysis,
and Retrieval system (EDGAR) in accordance with EDGAR rules set forth in Regulation S-T (17
CFR Part 232). All pages of an electronically filed Form 1, including exhibits, shall be
numbered consecutively, consistent with Rule 0-3 under the Exchange Act (17 CFR 240.0-3).
For assistance with EDGAR issues, please consult the EDGAR—Information for Filers webpage
on SEC.gov.
The disclosure required to be included in the following exhibits to Form 1 must be provided as
an Interactive Data File in accordance with Rule 405 of Regulation S-T. This requirement does
not extend to copies of existing documents:
(1) Exhibit D;
(2) Exhibit E, except for the copy of the users’ manual; and
(3) Exhibit I.
B.

Need for Careful Preparation of the Completed Form, Including Exhibits

Applicants and registered and exempt exchanges must provide all the information required by
the form, including the exhibits, and must present the information in a clear and comprehensible
manner. A filing that is incomplete or similarly deficient may be returned to the applicant or
registered or exempt exchange. Any filing so returned shall for all purposes be deemed not to
have been filed with the Commission. See also Rule 0-3 under the Exchange Act (17 CFR
240.0-3). If any exhibit required is inapplicable, a statement to that effect shall be furnished in
lieu of such exhibit.
C.

When to Use the Form 1

Form 1 is composed of 6 types of submissions to the Commission pursuant to Rules 6a-1, 6a-2
and 6a-3 under the Exchange Act. In completing Form 1, an applicant or exchange shall select
the type of filing and provide all information required by the relevant rules. The types of
submissions are:
(1) “Rule 6a-1 Application” submissions are applications for registration as a national
securities exchange or for exemption from such registration based on limited volume.
The applicant must select the type of application during the initial filing. An exchange
that is filing Form 1 as an application may not satisfy the requirements to provide certain
information by means of an internet website. All materials must be filed with the
Commission as part of the Form 1 application. Amendments to applications as required
by Rules 6a-1(b), (c) or (d) must be filed as amending the Rule 6a-1 application type, and
marked to number the amendments consecutively. An applicant may withdraw a Rule
6a-1 application submission type prior to Commission action to issue any order granting
registration, or institute proceedings to determine whether registration should be denied.
(2) “Rule 6a-2(a) Amendment to Registration” submissions are for amendments to the Form
1 by registered exchanges and exempt exchanges. The amendments shall set forth the

nature and effective date of the action taken and shall provide any new information and
correct any information rendered inaccurate within 10 days after any action that is taken
renders inaccurate, or that causes to be incomplete, any of the following:
i) Information in Section I-Entity Contact Information, or any amendments thereto; or
ii) Information filed as part of Exhibits C, F, G, H, J, K or M, or any amendments
thereto.
(3) “Rule 6a-2(b) Annual Filing” submission shall be filed on or before June 30 of each year
and include the following:
i) Exhibits D and I as of the end of the latest fiscal year of the exchange; and
ii) Exhibits K, M, and N, which shall be up to date as of the latest date practicable within
three (3) months of the date the amendment is filed.
(4) “Rule 6a-2(c) Triennial Filing” submission shall be filed on or before June 30, 2025, and
every three years thereafter and shall include complete Exhibits A, B, C and J. The
information filed under this submission type shall, at a minimum, be up to date within
three (3) months as of the date the amendment is filed.
(5) “Rule 6a-3(a) Supplemental Material” submission shall be filed with the Commission
within 10 days after issuing or making any materials (including notices, circulars,
bulletins, lists and periodicals) issued or made generally available to members of, or
participants or subscribers to, the exchange.
(6) “Rule 6a-3(b) Report of securities sold” submission type shall be filed within 15 days
after the end of each calendar month and shall include a report concerning the securities
sold on such exchange during the calendar month. The report shall set forth:
i) The number of shares of stock sold and the aggregate dollar amount of such stock
sold;
ii) The principal amount of bonds sold and the aggregate dollar amount of such bonds
sold; and
iii) The number of rights and warrants sold and the aggregate dollar amount of such
rights and warrants sold.
D.

Documents Comprising the Completed Form

The completed form filed with the Commission shall consist of Form 1, responses to all
applicable items, and any exhibits required in connection with the filing.
E.

Contact Information and Filing of Completed Form

Each time an applicant or exchange submits a filing to the Commission on Form 1, the applicant
or exchange must provide the contact information required by Section II of Form 1. The contact
employee must be authorized to receive all contact information, communications and mailings
and must be responsible for disseminating that information within the applicant or exchange’s
organization.
For assistance with EDGAR issues, please consult the EDGAR—Information for Filers webpage
on SEC.gov.

F.

Recordkeeping

A copy of this Form 1 must be retained by the exchange and made available for inspection upon
request of the SEC.
G.

Paperwork Reduction Act Disclosure

Form 1 requires an applicant seeking to register as a national securities exchange or seeking an
exemption from registration as a national securities exchange pursuant to Section 5 of the
Exchange Act to provide the SEC with certain information regarding the operation of the
exchange. Form 1 also requires national securities exchanges or exchanges exempt from
registration based on limited volume to update certain information on a periodic basis and to
provide supplemental material as required.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid control number. Sections 3(a)(1), 5, 6(a) and
23(a) authorize the Commission to collect information on this Form 1 from exchanges. See 15
U.S.C. §§78c(a)(1), 78e, 78f(a) and 78w(a).
Any member of the public may direct to the Commission any comments concerning the accuracy
of the burden estimate on the facing page of Form 1 and any suggestions for reducing this
burden.
Form 1 is designed to enable the Commission to determine whether an exchange applying for
registration is in compliance with the provisions of Sections 6 and 19 of the Exchange Act. Form
1 is also designed to enable the Commission to determine whether a national securities exchange
or exchange exempt from registration based on limited volume is operating in compliance with
the Exchange Act.
It is estimated that an exchange will spend approximately 891 hours completing the initial
application on Form 1 pursuant to Rule 6a-1. It is also estimated that each exchange will spend
approximately 26 hours to prepare each amendment to Form 1 pursuant to Rule 6a-2. It is also
estimated that each exchange will spend approximately 0.5 hours to prepare each submission
pursuant to Rule 6a-3.
It is mandatory that an exchange seeking to operate as a national securities exchange or as an
exchange exempt from registration based on limited volume file Form 1 with the Commission. It
is also mandatory that national securities exchanges or exchanges exempt from registration based
on limited volume file amendments to Form 1 under Rule 6a-2. It is further mandatory that
national securities exchanges or exchanges exempt from registration based on limited volume
file supplemental information and monthly reports under Rule 6a-3.
No assurance of confidentiality is given by the Commission with respect to the responses made
in Form 1. The public has access to the information contained in Form 1.
This collection of information has been reviewed by the Office of Management and Budget
(“OMB”) in accordance with the clearance requirements of 44 U.S.C. §3507. The Commission

has determined that the information collection does not constitute a system of record for
purposes of the Privacy Act.
H.

Explanation of Terms

AFFILIATE - Any person that, directly or indirectly, controls, is under common control with, or
is controlled by, the national securities exchange or exchange exempt from registration based on
the limited volume of transactions effected on such exchange, including any employees.
CONTROL - The power, directly or indirectly, to direct the management or policies of a
company, whether through ownership of securities, by contract, or otherwise. Any person that
(i) is a director, general partner or officer exercising executive responsibility (or having similar
status or functions); (ii) directly or indirectly has the right to vote 25% or more of a class of
voting securities or has the power to sell or direct the sale of 25% or more of a class of voting
securities; or (iii) in the case of a partnership, has the right to receive, upon dissolution, or has
contributed, 25% or more of the capital, is presumed to control that entity.
DIRECT OWNERS - Any person that owns, beneficially owns, has the right to vote, or has the
power to sell or direct the sale of, 5% or more of a class of a voting security of the applicant. For
purposes of this Form 1, a person beneficially owns any securities (i) owned by his/her child,
stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-inlaw, son-in-law, daughter-in-law, brother-in-law, sister-in-law, sharing the same residence; or (ii)
that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant or
right to purchase the security.
MEMBER - Shall have the same meaning as under Exchange Act Section 3(a)(3).
NATIONAL SECURITIES EXCHANGE - Shall mean any exchange registered pursuant to
Section 6 of the Exchange Act.
PERSON ASSOCIATED WITH A MEMBER - Shall have the same meaning as under
Section 3(a)(21) of the Exchange Act.