National Securities Exchange Templates

Welcome to our webpage on national securities exchanges! Also known as national securities exchange or national securities exchanges, these documents are an essential part of the financial regulatory system.

Our collection includes a range of important documents such as SEC Form 1935 (1) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act. This document is crucial for organizations that wish to register as a national securities exchange or seek exemption from registration.

Another significant document in our collection is SEC Form 2205 (N-17F-1) Certificate of Accounting of Securities and Similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges. This certificate is used by management investment companies to report their accounting of securities and investments held by members of national securities exchanges.

If you are looking for information on changes in membership status, we have SEC Form 1414 (X-17A-19) Information Required of National Securities Exchanges and Registered National Securities Associations Pursuant to Sections 17 and 19 of the Securities Exchange Act of 1934 and Rule 17a-19 Thereunder Report of Change in Membership Status. This form provides the necessary information required to report any changes in membership status in compliance with relevant regulations.

Our collection also includes Form 1 (SEC Form 1935) Application for, and Amendments to Application for, Registration as a National Securities Exchange or Exemption From Registration Pursuant to Section 5 of the Exchange Act. This form is another important document for organizations seeking to register as a national securities exchange or seek exemption from registration.

Lastly, we have Form 1-N (SEC Form 2568) 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. This form is specific to organizations seeking registration as a national securities exchange for the sole purpose of trading security futures products.

We understand the significance of these documents and the intricacies involved. Our webpage aims to provide you with comprehensive information about national securities exchanges, making it easier for you to navigate the regulatory landscape and ensure compliance.