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

What Is Form 1 (SEC Form 1935)?

This is a legal form that was released by the U.S. Securities and Exchange Commission on February 1, 1999 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is Form 1 (SEC Form 1935)?
A: Form 1 (SEC Form 1935) is an application for registration as a national securities exchange or for exemption from registration pursuant to Section 5 of the Exchange Act.

Q: What is the Exchange Act?
A: The Exchange Act refers to the Securities Exchange Act of 1934, which regulates securities transactions and exchanges in the United States.

Q: Who should use Form 1?
A: Form 1 should be used by organizations or entities that want to apply for registration as a national securities exchange or seek exemption from registration.

Q: What information is required on Form 1?
A: Form 1 requires various information about the organization, its purpose, structure, operations, and compliance with securities laws.

Q: Why would an organization apply for registration as a national securities exchange?
A: An organization may apply for registration as a national securities exchange to facilitate the trading of securities and provide a fair and orderly market.

Q: What is the purpose of seeking exemption from registration?
A: Seeking exemption from registration allows organizations to operate as alternative trading systems that do not meet the criteria for national securities exchanges.