SEC Form 1

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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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RELATED FAQS
  1. Where are the Social Security administration headquarters?

    The U.S. Social Security Administration, or SSA, is headquartered in Woodlawn, Maryland, a suburb just outside of Baltimore. ... Read Full Answer >>
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    The main responsibility of the U.S. Social Security Administration, or SSA, is overseeing the country's Social Security program. ... Read Full Answer >>
  3. Is the Social Security administration a government corporation?

    The U.S. Social Security Administration (SSA) is a government agency, not a government corporation. President Franklin Roosevelt ... Read Full Answer >>
  4. What are the disclosure requirements for a private placement?

    The U.S. Securities and Exchange Commission (SEC) has set forth disclosure requirements for private placements, including ... Read Full Answer >>
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