SEC Form 1

AAA

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.

INVESTOPEDIA EXPLAINS '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.

RELATED TERMS
  1. SEC Form 25

    A notification given to the SEC by a national securities exchange ...
  2. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  3. Wall Street

    1. A street in lower Manhattan that is the original home of the ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. What methods can the government use ...
    Bonds & Fixed Income

    What methods can the government use ...

  3. How A Limited Government Affects A Country's ...
    Economics

    How A Limited Government Affects A Country's ...

  4. How to Register Your Trademark
    Investing

    How to Register Your Trademark

Hot Definitions
  1. Gross Rate Of Return

    The total rate of return on an investment before the deduction of any fees or expenses. The gross rate of return is quoted ...
  2. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  3. Leading Indicator

    A measurable economic factor that changes before the economy starts to follow a particular pattern or trend. Leading indicators ...
  4. Wage-Price Spiral

    A macroeconomic theory to explain the cause-and-effect relationship between rising wages and rising prices, or inflation. ...
  5. Accelerated Depreciation

    Any method of depreciation used for accounting or income tax purposes that allows greater deductions in the earlier years ...
  6. Call Risk

    The risk, faced by a holder of a callable bond, that a bond issuer will take advantage of the callable bond feature and redeem ...
Trading Center