OMB control number
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
OMB 3235-0017 · SEC.
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 2028-04-30 and is listed under ICR 202407-3235-025.
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 
.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form Form 1 Form 1, Rules 6a-1 and 6a-2 - Initial Application | Form and Instruction |
| Form Form 1 Form 1, Rules 6a-1 and 6a-2 - Amendments | Form and Instruction |
| 2025 02 27_90 FR 10842_3235-0017_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| Supporting Statement_Rules 6a1 and 6a2 2025.pdf | Supporting Statement A |
| 2024 12 13_89 FR 101082_3235-0017_Collection.pdf | Supplementary Document |
 Form 1, Rules 6a-1 and 6a-2 - Initial Application |
Form and Instruction |
| Form 1, Rules 6a-1 and 6a-2 - Amendments |
Form and Instruction |
All Historical Document Collections
OMB Details
Form 1, Rules 6a-1 and 6a-2 - Initial Application
Federal Enterprise Architecture: Economic Development - Business and Industry Development
| Form | Name | Electronic access | Type |
|---|---|---|---|
| Form Form 1 | SEC 1935 | www.sec.gov/about/forms/form1.pdf | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.