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.


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.

  1. Securities And Exchange Commission ...

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

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

    1. An annual publication that public corporations must provide ...
  6. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
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