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

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 .

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

Federal Enterprise Architecture: Economic Development - Business and Industry Development

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