Form 1 Application And Amendments To Application For Registration As A National Securities Exchange (SEC1935) {1} | Pdf Fpdf Docx | Official Federal Forms

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Form 1 Application And Amendments To Application For Registration As A National Securities Exchange (SEC1935) {1} | Pdf Fpdf Docx | Official Federal Forms

Form 1 Application And Amendments To Application For Registration As A National Securities Exchange (SEC1935) {1}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

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Form 1 OMB APPROVAL OMB Number: 3235-0017Expires: Estimated average burden hours per response. . . . . .30.00 APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR, REGISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION FROM REGISTRATIONPURSUANT TO SECTION 5 OF THE EXCHANGE ACT SEC 1935 (2-99) American LegalNet, Inc. www.FormsWorkFlow.com FORM 1 INSTRUCTIONS002A.003 GENERAL INSTRUCTIONS 003003UPDATING003CONTACT EMPLOYEE003FORMAT 003003003003003WHERE TO FILE AND NUMBER OF COPIES 003PAPERWORK REDUCTION ACT DISCLOSURE 003003See0030030030030030032002 American LegalNet, Inc. www.FormsWorkFlow.com FORM 1 INSTRUCTIONS002B. EXPLANATION OF TERMS APPLICANTAFFILIATECONTROLDIRECT OWNERSMEMBERNATIONAL SECURITIES EXCHANGEPERSON ASSOCIATED WITH A MEMBER3002 American LegalNet, Inc. www.FormsWorkFlow.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR, REGISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION FROM REGISTRATION PURSUANT TO SECTION 5 OF THE EXCHANGE ACTEXECUTION: This page must always be completed in full with original, manual signature and notarization. Affix notary stamp or seal where applicable. 4002 American LegalNet, Inc. www.FormsWorkFlow.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 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 DO NOT WRITE BELOW THIS LINE - FOR OFFICIAL USE ONLY EXHIBITS 5002 American LegalNet, Inc. www.FormsWorkFlow.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 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 EXHIBITS 6002 American LegalNet, Inc. www.FormsWorkFlow.com Form 1 Page 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR, ISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION M REGISTRATION PURSUANT TO SECTION 5 OF THE EXCHANGE ACT REGFRO OFFICIAL USE OFFICIAL USE ONLY Exhibit KThis Exhibit is applicable only to exchanges that have one or more owners, shareholders, or partners that are not also members of the exchange. If the exchange is a corporation, please provide a list of each shareholder that directly owns 5% or more of a class of a voting security of the applicant.If the exchange is a partnership, please provide a list of all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 5% or more of the partnership222s capital. For each of the persons listed in the Exhibit K, please provide the following: 1. Full legal name; 2. Title or Status; 3. Date title or status was acquired; 4. Approximate ownership interest; and 5. Whether the person has control, a term that is defined in the instructions to this Form. Exhibit L Describe the exchange222s criteria for membership in the exchange. Describe conditions under which members may be subject to suspension or termination with regard to access to the exchange. any procedures that will be involved in the suspension or termination of a member. Exhibit M Provide an alphabetical list of all members, participants, subscribers or other users, including the following information: 1. Name; 2. Date of election to membership or acceptance as a participant, subscriber or other user; 3. Principal business address and telephone number; 4. If member, participant, subscriber or other user is an individual, the name of the entity with which such individual is associated and the relationship of such individual to the entity (e.g. partnerofficer, director, employee, etc.); 5. Describe the type of activities primarily engaged in by the membe, rparticipant, subscriber, or other user (e.g. floor broker, specialist, odd lot dealer, other market maker, proprietary trader, non-broker dealer, inactive or other functions) . A person shall be 223primarily engaged224 in an activity or function for purposes of this item when that activity or function is the one in which that person is engaged the majority of their time. When more than one type of person at an entity engages in any of types of activities or functions enumerated in this item, identify each type (e.g. proprietary , Registered Competitive Trader and Registered Competitive Market Maker) and state the members, participants, subscribers, or other users in each; and 6. The class of membership, participation or subscription or other access. Exhibit N Provide a schedule for each of the following: 1. The securities listed in the exchange, indicating for each the name of the issuer and a description of the security; 2. The securities admitted to unlisted trading privileges, indicating for each the name of the issuer and a description of the security; 3. The unregistered securities admitted to trading on the exchange which are exempt from registration under Section 12(a) of the Act. For each security listed, provide the name of the issuerand a description of the security, and the statutory exemption claimed (e.g. Rule 12a-6); and 4. Other securities traded on the exchange, including for each the name of the issuer and a description of the security. 7 American LegalNet, Inc. www.FormsWorkFlow.com

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