SEC Form X-15AJ-1

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.

BREAKING DOWN '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 1

    An application for and amendments to an application for registration ...
  2. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  3. Section 16

    A section of the Securities Exchange Act of 1934 that is used ...
  4. SEC Form X-15AJ-2

    This form is the "annual consolidated supplement", a form that ...
  5. SEC Form 15

    A filing with the Securities and Exchange Commission (SEC), also ...
  6. SEC Form 8-A12B

    A filing with the Securities and Exchange Commission (SEC) that ...
Related Articles
  1. Investing

    Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  2. Investing

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  3. Markets

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  4. Markets

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  5. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  6. Markets

    What's the SEC?

    The Securities and Exchange Commission (SEC) is an independent agency of the United States government. The mission of the SEC is to enforce securities laws passed by congress. These laws aim ...
  7. Professionals

    What Does a Dealer Do?

    Dealers possess certain qualities that distinguish them from brokers and traders.
  8. Markets

    Speed Read SEC Filings For Hot Stock Picks

    SEC forms can be a real headache. Find out how to make your research more efficient - and more effective.
  9. Investing

    Why You Should Understand The Stock Market

    Even if you don't invest a cent in stocks, you should still understand how the stock market works. Find out why.
  10. Markets

    Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.
RELATED FAQS
  1. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ... Read Answer >>
  2. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  3. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  4. How does the IRS want me to report the RMDs I receive from a small non-spousal inherited ...

    Aside from my own 1040, do I need to file tax returns for the stretch IRA in the name of the decedent's trust for my ... Read Answer >>
  5. 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 >>
  6. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
Hot Definitions
  1. GBP

    The abbreviation for the British pound sterling, the official currency of the United Kingdom, the British Overseas Territories ...
  2. Diversification

    A risk management technique that mixes a wide variety of investments within a portfolio. The rationale behind this technique ...
  3. European Union - EU

    A group of European countries that participates in the world economy as one economic unit and operates under one official ...
  4. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  5. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  6. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
Trading Center