SEC Form 1

DEFINITION of 'SEC Form 1'

An application for and amendments to an application for registration as a national securities exchange or exemption from registration pursuant to section 5 of the Securities Exchange Act of 1934. Section 6 of the Exchange Act requires that stock exchanges register with the SEC Form 1 in order to be considered national securities exchanges.

BREAKING DOWN 'SEC Form 1'

Major stock exchanges such as Nasdaq and the NYSE have registered with the SEC and are considered to be national securities exchanges. However, if an "exchange" has a very limited number of transactions, they may file for an exemption from registration with the SEC under section 5 of the 1934 Exchange Act.

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    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  3. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  4. How does a company switch from one stock exchange to another?

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