SEC Form X-15AJ-1

Filed Under » , , , , , ,
Dictionary Says

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 Says

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.

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

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

  2. Investigating The Securities Police

    Learn about the history of FINRA and how this organization protects investors.

  3. Getting To Know The Stock Exchanges

    Here are the answers to all the questions you have about stock exchanges but are too afraid to ask!

  4. The U.S. National Spending And Debt

    We are looking at what could be the official year of the Federal Budget, or, more specifically, our debt and how we will manage it for many years to come.

  5. How To Get A Job At The SEC

    Want to make a good living taking on those renegade trading rascals on Wall Street? Here are some tips to help you get in the door at the SEC.

  6. Austerity: When The Government Tightens Its Belt

    When a government tightens its belt in tough economic times the entire nation feels the squeeze.

  7. Why It's Important To Regulate Foreign Exchange

    In an increasingly globalized economy, the significance of the foreign exchange marketplace cannot be underestimated.

  8. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  9. Zynga's New Venture Is A Major Gamble

    The current state of online gambling in the U.S. makes Zynga’s move into the market a very risky one.

  10. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Xenocurrency

    A currency that trades in markets outside of its domestic borders.

  2. Wanton Disregard

    A standard of severe negligence. Wanton disregard is a very serious accusation that indicates that a person behaved extremely recklessly.

  3. Ultra ETF

    A class of exchange-traded funds (ETF) that employs leverage in an effort to achieve double the return of a set benchmark.

  4. Toehold Purchase

    A purchase of less than 5% of a target company's outstanding stockmade by an acquiring company. A toehold purchase of just under 5%, while not a significant stake in a firm, allows the shareholders a "toe-holds" grip on the company and its decision making.

  5. Samurai Bond

    A yen-denominated bond issued in Tokyo by a non-Japanese company and subject to Japanese regulations.

  6. Chartalism

    A non-mainstream theory of money that emphasizes the impact of government policies and activities on the value of money.
Trading Center
http://sp.fastclick.net/ad/tr/10858-64082-15546-0?mpt=ea4eb9913d9f1976406623bc15bb7d38