SEC Form 1-N

AAA

DEFINITION of 'SEC Form 1-N'

A filing with the Securities and Exchange Commission (SEC), also known as the Registration as a National Securities Exchange for Futures Trading. It is used by parties who wish to establish an exchange for trading futures. SEC Form 1-N is one of the most complex filing forms used by the SEC, as it requires extensive disclosures.

INVESTOPEDIA EXPLAINS 'SEC Form 1-N'

While most investors will never have a reason to examine a SEC Form 1-N, those wishing to truly understand the inner workings of the futures and commodities markets depend on it. The SEC Form 1-N is one of the best sources of information as to who the key players are behind an exchange.

RELATED TERMS
  1. System for Electronic Document ...

    The system used for electronically filing most securities information ...
  2. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
  3. Quarterly Earnings Report

    A quarterly filing made by public companies to report their performance. ...
  4. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  5. Annual Report

    1. An annual publication that public corporations must provide ...
  6. Fiscal Year - FY

    A period that a company or government uses for accounting purposes ...
Related Articles
  1. The Birth Of Stock Exchanges
    Personal Finance

    The Birth Of Stock Exchanges

  2. Getting To Know The Stock Exchanges
    Options & Futures

    Getting To Know The Stock Exchanges

  3. Get A Job In Compliance
    Professionals

    Get A Job In Compliance

  4. The NYSE And Nasdaq: How They Work
    Options & Futures

    The NYSE And Nasdaq: How They Work

Hot Definitions
  1. Halloween Strategy

    An investment technique in which an investor sells stocks before May 1 and refrains from reinvesting in the stock market ...
  2. Halloween Massacre

    Canada's decision to tax all income trusts domiciled in Canada. In October 2006, Canada's minister of finance, Jim Flaherty, ...
  3. Zombies

    Companies that continue to operate even though they are insolvent or near bankruptcy. Zombies often become casualties to ...
  4. Witching Hour

    The last hour of stock trading between 3pm (when the bond market closes) and 4pm EST. Witching hour is typically controlled ...
  5. October Effect

    The theory that stocks tend to decline during the month of October. The October effect is considered mainly to be a psychological ...
  6. Repurchase Agreement - Repo

    A form of short-term borrowing for dealers in government securities.
Trading Center