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. Electronic Data Gathering, Analysis ...

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

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

    A period that a company or government uses for accounting purposes ...
  4. Investor Relations - IR

    A department, present in most medium to large public companies, ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. System for Electronic Document ...

    The system used for electronically filing most securities information ...
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

comments powered by Disqus
Hot Definitions
  1. Letter Of Credit

    A letter from a bank guaranteeing that a buyer's payment to a seller will be received on time and for the correct amount. ...
  2. Due Diligence - DD

    1. An investigation or audit of a potential investment. Due diligence serves to confirm all material facts in regards to ...
  3. Certificate Of Deposit - CD

    A savings certificate entitling the bearer to receive interest. A CD bears a maturity date, a specified fixed interest rate ...
  4. Days Sales Of Inventory - DSI

    A financial measure of a company's performance that gives investors an idea of how long it takes a company to turn its inventory ...
  5. Accounts Payable - AP

    An accounting entry that represents an entity's obligation to pay off a short-term debt to its creditors. The accounts payable ...
  6. Ratio Analysis

    Quantitative analysis of information contained in a company’s financial statements. Ratio analysis is based on line items ...
Trading Center