SEC 2568 (11-02) Form 1-N

Securities and Exchange Commission
Washington, DC 20549
Form 1-N Form and Amendments for Notice of Registration as a National Securities Exchange for the Sole Purpose
of Trading Security Futures Products Pursuant to Section 6(g) of the Exchange Act
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 exchange} is making this filing pursuant to the following Rule: (select one)
Rule 6a-4 Initial Notice of Registration
Rule 6a-4(b) Amendment to Notice of Registration
Rule 6a-4(b)(3) Annual Filing for Year
Rule 6a-4(b)(4) Triennial Filing for Year: YYYY
Rule 6a-4(c)(1) Supplemental Materials
Rule 6a-4(c)(2) Report of securities futures products traded during prior calendar month
Section I – Security Futures Product Exchange’s 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.
4.
5.

Business Telephone (
) ____-_______ Facsimile ( ) ___-_______
Fiscal Year End: mm/dd
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 {Name of Exchange}

Name of Firm:
First Name:
Title:
Email:
Section III – Rule 6a-4(c)(1) (select one)

Last Name:

Provide all supplemental materials required under Rule 6a-4(c) related to the trading of security futures
products (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 within 10 days
after issuing or making such material available to members, participants or subscribers.
Add, Delete, View
In lieu of filing the supplemental material required under Rule 6a-4(c)(1)(i) the {entity} certifies that the
information requested 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) below: _______________________________________
Section IV – Rule 6a-4(c)
Within 15 days after the end of each calendar month, file a report concerning the security futures products traded on
the exchange during the previous calendar month. Such report shall contain:
(1) For each contract of sale for future delivery of a single security, the number of contracts traded on such
exchange during the relevant calendar month and the total number of shares underlying such contracts
traded; and
(2) For each contract of sale for future delivery of a narrow-based security index, the number of contracts
traded on such exchange during the relevant calendar month and the total number of shares represented
by the index underlying such contracts traded.
Report of security futures products traded during calendar month ended mm/dd/yyyy
Section V: Exhibits

Information Required by the Exhibit

Exhibit A:
As of the latest date practicable
within one (1) month of the date
Form 1-N is filed, a copy of the
constitution, articles of incorporation
or association with all subsequent
amendments, and existing by-laws or
corresponding rules or instruments,
whatever the name, of the filing
exchange.

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website
In lieu of
In lieu of
In lieu of
filing {entity}
filing {entity} filing {entity}
certifies that the certifies that
certifies that
information may the
the
be obtained
information
information
below and is
requested
requested
accurate as of
under this
under this
the publication
exhibit is kept exhibit is
date:
up to date and continuously
Name of
is available to available at
Publication:
the
the internet
Name
Commission
website
Address
and the public below, which
Telephone #
upon request.
is controlled
Price of
by {entity},
Publication
and is
$___
accurate as of
Date of
the date of
Publication:
this filing and
mm/dd/yyyy
is free and
accessible
(without any

Information Required by the Exhibit

Exhibit B:
As of the latest date practicable
within one (1) month of the date
Form 1-N is filed, 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 filing
exchange which are not included in
Exhibit A.

Exhibit C:
As of the latest date practicable
within one (1) month of the date
Form 1-N is filed, for each subsidiary
or affiliate of the filing exchange that
will be involved in the trading of
security futures products, and for any
entity with whom the exchange has a
contractual or other agreement
relating to the operation of an
electronic trading system to be used
to effect transactions in security
futures products on the exchange
(“System”), provide the following
information:
1. Name and address of
organization.

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website
encumbrances
or
restrictions)
by the general
public
URL(s):
In lieu of
In lieu of
In lieu of
filing {entity}
filing {entity} filing {entity}
certifies that the certifies that
certifies that
information may the
the
be obtained
information
information
below and is
requested
requested
accurate as of
under this
under this
the publication
exhibit is kept exhibit is
date:
up to date and available at
Name of
is available to the internet
Publication:
the
website
Name
Commission
below and is
Address
and the public accurate as of
Telephone #
upon request.
the date of
Price of
this filing and
Publication
is free and
$___
accessible
Date of
(without any
Publication:
encumbrances
mm/dd/yyyy
or
restrictions)
by the general
public
URL(s):
In lieu of
In lieu of
In lieu of
filing {entity}
filing {entity} filing {entity}
certifies that the certifies that
certifies that
information may the
the
be obtained
information
information
below and is
requested
requested
accurate as of
under this
under this
the publication
exhibit is kept exhibit is
date:
up to date and available at
Name of
is available to the internet
Publication:
the
website
Name
Commission
below and is
Address
and the public accurate as of
Telephone #
upon request.
the date of
Price of
this filing and
Publication
is free and
$___
accessible

Information Required by the Exhibit

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 (including the
controls that will be
implemented to ensure the
safety of held funds or
securities), 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 association
including all amendments.
8. A copy of existing by-laws
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 Security
Futures Product Exchange
during the previous year,
and a brief statement of the
reasons for termination of
the association.

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website
Date of
(without any
Publication:
encumbrances
mm/dd/yyyy
or
restrictions)
by the general
public
URL(s):

Information Required by the Exhibit

Exhibit D:

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website

Not Applicable.

Not
Applicable

Not
Applicable

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 #

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
available at
the internet
website
below and is
accurate as of
the date of

Describe the manner of operation of
the System involving trading of
security futures products. The
description should include the
following:
1. The means of access to the
System.
2. Procedures governing 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.
4. Proposed fees.
5. Procedures for ensuring
compliance with System
usage guidelines.
6. The hours of operation of
the System, and the date of
which the exchange intends
to commence operation of
the System.
7. Attach a copy of the users’
manual.
Exhibit E:
A list of the officers, governors, or
persons performing 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.

Information Required by the Exhibit

Exhibit F:
This Exhibit is applicable only to
filing exchanges that have one or
more owners, shareholders, partners
that are also not members of the
exchange and should be current as of
the latest date practicable within one
month of the date Form 1-N is filed.
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 Security Futures Product
Exchange. If the exchange is a
partnership, please provide a list of
all general partners and those limited
and special partners that have the
right to receive upon dissolution, or
have contributed, 5% or more of the
partnership’s capital. For each
person listed in the Exhibit F, please
provide the following:
1. Full legal name.
2. Title of Status.
3. Date of title or status acquired.
4. Approximate ownership interest.
5. Whether the person has control, a
term that is defined in the instructions
to this Form.

Exhibit G:
To the extent not covered in an
exchange’s rules submitted under
Exhibit A, describe the Security
Futures Product Exchange’s criteria

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website
Price of
this filing and
Publication
is free and
$___
accessible
Date of
(without any
Publication:
encumbrances
mm/dd/yyyy
or
restrictions)
by the general
public
URL(s):
In lieu of
In lieu of
In lieu of
filing {entity}
filing {entity} filing {entity}
certifies that the certifies that
certifies that
information may the
the
be obtained
information
information
below and is
requested
requested
accurate as of
under this
under this
the publication
exhibit is kept exhibit is
date:
up to date and available at
Name of
is available to the internet
Publication:
the
website
Name
Commission
below and is
Address
and the public accurate as of
Telephone #
upon request.
the date of
Price of
this filing and
Publication
is free and
$___
accessible
Date of
(without any
Publication:
encumbrances
mm/dd/yyyy
or
restrictions)
by the general
public
URL(s):

Information Required by the Exhibit

for membership. Describe conditions
under which members may be subject
to suspension or termination for
infractions relating to the trading of
security futures products. Describe
any procedures that will be involved
in the suspension or termination of a
member for such infractions.
Exhibit H:
As of the latest date practicable
within 1 month of the date Form 1-N
is filed, provide an alphabetical list of
all members, participants,
subscribers, or other users, including
the following information:
1. Name
2. If a 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.).
3. Brief description of the type
of activities primarily
engaged in by the member,
participant, subscriber, or
other user. A person shall
be “primarily engage” 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 activities
or functions, identify each
type and state the number of
members, participants,
subscribers, or other users in
each.

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website

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
available at
the internet
website
below and 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):

Information Required by the Exhibit

4.

The class of membership,
participation, subscription,
or other access.

Exhibit I:
Provide a schedule of the security
futures products proposed to be listed
by the filing exchange, or for
amendments to the Form 1-N the
security futures products listed by the
exchange, indicating for each the
name of the issuer and a description
of the security.

Section VI:

Alternative Means of Filing Certain Exhibits in
Annual (Exhibits F, H, I) and Triennial Filings (A,
B, C, E)
Rule 6aRule 6aRule 6a4(b)(5)(iii)
4(b)(5)(i)
4(b)(5)(ii)
Available via
Available by
Available
internet
publication
upon request
website

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
available at
the internet
website
below and 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):

Contact Employee Information

The individual listed herein as the Contact Employee for {name of exchange} must be authorized to receive all
contact information, communications, and mailings and is responsible for disseminating such information within the
Security Futures Product Exchange’s organization.
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 by registered or certified mail to the contact employee 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-N General Instructions:
A. Use of the Form
Form 1-N is the form used for: (a) notice of registration as a national securities exchange for the sole purpose of
trading security futures products (“Security Futures Product Exchange”) under Section 6(g) of the Securities
Exchange Act of 1934 (“Exchange Act”) to provide to the Securities and Exchange Commission (“SEC” or
“Commission”) specific items of information about the Security Futures Product Exchange and its operations; (b)
the filing of annual and triennial updates to the information required by Form 1-N following notice of registration;
and (c) supplemental material and reports of security futures products traded. Filings on Form 1-N submitted
pursuant to Rule 6a-4 of the Exchange Act (17 CFR 240.6a-4) 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). For assistance with EDGAR issues, please consult the
EDGAR—Information for Filers webpage on SEC.gov. All pages of an electronically filed Form 1-N, including
exhibits, shall be numbered consecutively, consistent with Rule 0-3 under the Exchange Act (17 CFR 240.0-3).
B. Need for Careful Preparation of the Completed Form, Including Exhibits
Security Futures Product 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 Security Futures Product 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. The first
filing on Form 1-N that a Security Futures Product Exchange submits through EDGAR must contain all items
required by Section I.
C. When to Use the Form 1-N
Form 1-N is composed of 6 types of submissions to the Commission pursuant to Rule 6a-4 under the Exchange Act.
In completing Form 1-N, a Security Futures Product Exchange shall select the type of filing and provide all
information required by the relevant rules. The types of submissions are:
(1) “Rule 6a-4 Initial Notice of Registration” submissions for notice of registration as a Security Futures
Product Exchange. An exchange that is filing Form 1-N 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-N notice of registration.
(2) “Rule 6a-4(b) Amendment to Notice of Registration” submissions for amendments to the Form 1-N, which
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:
i) 10 days after any action that is taken renders inaccurate, or that causes to be incomplete, any
information in Sections I through IV, or any amendments thereto; or
ii) 30 days after any action is taken that renders inaccurate, or that causes to be incomplete, any
information filed as part of Exhibit F to Form 1-N, or any amendments thereto.
(3) “Rule 6a-4(b)(3) Annual Filing” submission, which shall be filed by June 30 of each year and include
Exhibits F, H, and I, which shall be current as of the latest date practicable within 3 months of the date the
amendment is filed.
(4) “Rule 6a-4(b)(4) Triennial Filing” submission, which shall be filed by June 30, 2025, and by June 30 every
three years thereafter, and shall include complete Exhibits A, B, C, and E. The information filed under this
submission type shall be current as of the latest practicable date, but shall at a minimum, be up to date
within 3 months as of the date the amendment is filed.

(5) “Rule 6a-4(c)(1) Supplemental Material” submission type, for submission of supplemental material within
10 days after issuing or making such material available to members, participants, or subscribers.
(6) “Rule 6a-4(c)(2) Report of security futures products traded” submission type shall be filed within 15 days
after the end of each calendar month. Such report shall contain: (i) For each contract of sale for future
delivery of a single security, the number of contracts traded on such exchange during the relevant calendar
month and the total number of share underlying such contracts traded; and (ii) For each contract of sale for
future delivery of a narrow-based security index, the number of contracts traded on such exchange during
the relevant calendar month and the total number of shares represented by the index underlying such
contracts traded.
D. Documents Comprising the Completed Form
The completed form filed with the Commission shall consist of Form 1-N, responses to all applicable items, and any
exhibits required in connection with the filing.
E. Contact Information and Filing of Completed Form
Each time a Security Futures Product Exchange submits a filing to the Commission on Form 1-N, the Security
Futures Product Exchange must provide the contact information required by Section II of Form 1-N. The contact
employee must be authorized to receive all contact information, communications and mailings and must be
responsible for disseminating that information within the Security Futures Product Exchange.
For assistance with EDGAR issues, please consult the EDGAR—Information for Filers webpage on SEC.gov.
F. Recordkeeping
A copy of this Form 1-N, as well as the forms filed with the SEC, must be retained by the Security Futures Product
Exchange and made available for inspection upon request of the SEC.
G. Paperwork Reduction Act Disclosure
Form 1-N requires an exchange seeking to register as a national securities exchange for the sole purpose of trading
security futures products, pursuant to Section 6(g) of the Exchange Act, to provide the Commission with certain
information regarding its operation. If documents containing information satisfying the Commission’s information
requirements have been filed with the Commodity Futures Trading Commission, copies of such documents may be
filed with the Commission. Form 1-N also requires Security Futures Product Exchanges to update certain
information on a periodic basis.
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-N from Security Futures Product Exchanges. See 15 U.S.C. §§78c(a)(1), 78e, 78f(a) and
78w(a).
Form 1-N is designed to enable the Commission to determine whether a Security Futures Product Exchange is in
compliance with the Exchange Act.
It is estimated that a Security Futures Product Exchange will spend approximately 29 hours completing the initial
application on Form 1-N pursuant to Rule 6a-4. It is estimated that each Security Futures Product Exchange will
spend approximately 14 hours annually to prepare periodic amendments, 14 hours annually to prepare annual
amendments, 7 hours annually to prepare triennial amendments to Form 1-N and 6 hours annually for the required
supplemental information and monthly reports pursuant to Rule 6a-4.
Any member of the public may direct to the Commission any comments concerning the accuracy of this burden
estimate and any suggestions for reducing this burden.

It is mandatory that an exchange seeking to operate as a national securities exchange for the sole purpose of trading
security futures products file a Form 1-N with the Commission. It is also mandatory that Security Futures Product
Exchanges file amendments to Form 1-N under Rule 6a-4.
No assurance of confidentiality is given by the Commission with respect to the responses made in Form 1-N. The
public has access to the information contained in Form 1-N.
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 Security Futures Product Exchange. For purposes
of this Form 1-N, a person beneficially owns any securities (i) owned by his/her child, stepchild, grandchild, parent,
stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, 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).
PERSON ASSOCIATED WITH A MEMBER - Shall have the same meaning as under Section 3(a)(21) of the
Exchange Act.