Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments

OMB 3235-0017

OMB 3235-0017

Rule 6a-1 states that the Commission may not grant an entity registration as a national securities exchange unless it finds, among other things, that the exchange is so organized so that it has the capacity to carry out the purposes of and to comply with the Exchange Act. Rule 6a-1 also directs entities seeking exchange registration (or seeking exemption from registration based on limited volume) to provide information on Form 1 that would enable the Commission to make this determination. Rule 6a-2 directs registered and exempt exchanges to notify the Commission of any material amendments to the information provided in the initial Form 1 and to make periodic updates of certain information provided in the initial Form 1.

The latest form for Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments expires 2022-06-30 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0017: Form 1 filings .

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Approved without change
Extension without change of a currently approved collection 2019-03-12
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Extension without change of a currently approved collection 2016-03-22
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Extension without change of a currently approved collection 2013-04-08
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Extension without change of a currently approved collection 2010-06-09
Approved without change
Revision of a currently approved collection 2007-07-02
Comment filed on proposed rule and continue
Revision of a currently approved collection 2004-11-24
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Extension without change of a currently approved collection 2004-07-09
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Extension without change of a currently approved collection 2001-06-14
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Revision of a currently approved collection 1998-04-29
Approved without change
Extension without change of a currently approved collection 1997-05-07
Approved with change
No material or nonsubstantive change to a currently approved collection 1994-08-24
Improperly submitted and continue
Revision of a currently approved collection 1994-06-22
Approved without change
Extension without change of a currently approved collection 1994-05-25
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Revision of a currently approved collection 1991-07-08
Approved without change
Extension without change of a currently approved collection 1988-08-26
Approved without change
Revision of a currently approved collection 1985-08-12
Approved without change
Revision of a currently approved collection 1982-07-27
Approved without change
New collection (Request for a new OMB Control Number) 1981-06-16
OMB Details

Form 1, Rules 6a-1 and 6a-2 - Initial Application

Federal Enterprise Architecture: Economic Development - Business and Industry Development

Form Form 1SEC 1935www.sec.gov/about/forms/form1.pdfForm and instruction

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


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