This form is used to apply for registration or exemption from registration as a national securities exchange. It provides background information on the applicant and the nature of its business, including information on its present officers, its constitution, articles of incorporation or association with all amendments attached, as well as existing by-laws or rules or instruments.
Filings are available on microfiche.
For as long as the exchange is registered plus six years. This form is used to apply for registration as a broker or dealer of securities, as a municipal securities broker or dealer, or as a government securities broker or dealer, and to amend any such registration. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the applicant. It also contains information, among other things, on past securities violations.