SEC Form X-15AJ-1

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DEFINITION of 'SEC Form X-15AJ-1'

A form that is filed with the SEC as an amendatory and/or supplementary statement to Form X-15AA-1. SEC Form X-15AJ-1 amends Form X-15AA-1, which is an application to the SEC for registration as a national securities association or affiliated securities association by an association of brokers and dealers under Section 15A of the Securities Exchange Act of 1934.

INVESTOPEDIA EXPLAINS 'SEC Form X-15AJ-1'

An association of securities brokers and dealers may file to become a national securities association pursuant to subsection b of Section 15A or an affiliated securities association pursuant to subsection d of section 15A.

RELATED TERMS
  1. SEC Form X-15AJ-2

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  2. Broker-Dealer

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  3. Securities And Exchange Commission ...

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  4. Securities Exchange Act Of 1934

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  5. National Association Of Securities ...

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  6. Member Firm

    A broker-dealer in which at least one of the principal officers ...
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