Form SEC 2568 (11-02) SEC 2568 (11-02) Form 1-N

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

Form 1-N

FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL SECURITIES
EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY FUTURES PRODUCTS
PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT

SEC 2568 (11-02)

Persons who potentially are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.

FORM 1-N INSTRUCTIONS
A. GENERAL INSTRUCTIONS
1.

Form 1-N is the form for notice of registration as a national securities exchange for the sole purpose of trading security futures
products (“Security Futures Product Exchange”) pursuant to Section 6(g) of the Securities Exchange Act of 1934 (“Exchange Act”).

2.

UPDATING - A Security Futures Product Exchange must file amendments to Form 1-N in accordance with Exchange Act Rule 6a4.

3.

CONTACT EMPLOYEE - The individual listed on the Execution Page (Page 1) of Form 1-N as the contact employee must be
authorized to receive all contact information, communications, and mailings and is responsible for disseminating such information
within the Security Futures Product Exchange’s organization.

4.

FORMAT
Attach an Execution Page (Page 1) with original manual signatures.
Please type all information.
Use only the current version of Form 1-N or a reproduction.

5.

If the information called for by any Exhibit is available in printed form, the printed material may be filed provided it does not exceed
8 1/2 X 11 inches in size.

6.

If any Exhibit required is inapplicable, a statement to that effect shall be furnished in lieu of such Exhibit.

7.

An exchange that is filing Form 1-N may not satisfy the requirements to provide certain information by means of an Internet web
page. All materials must be filed with the Commission in paper.

8.

WHERE TO FILE AND NUMBER OF COPIES - Submit one original and two copies of Form 1-N to: Securities and Exchange
Commission, Division of Market Regulation, Office of Market Supervision, 450 Fifth Street, NW, Washington, DC 20549.

9.

PAPERWORK REDUCTION ACT DISCLOSURE
Form 1-N requires an exchange registering as a national securities exchange, for the sole purpose of trading security futures
products, pursuant to Section 6(g) of the Exchange Act, to provide the Securities and Exchange Commission (“SEC” or
“Commission”) with certain information regarding its operation. If documents containing information satisfying the Commission’s
information requirements have been filed with the Commodity Futures Trading Commission, copies of such documents may be
filed with the Commission. Security Futures Product Exchanges are also required to update certain information filed on Form
1-N on a periodic basis.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays
a currently valid control number. Sections 3(a)(1), 5, 6(a), and 23(a) of the Exchange Act authorize the Commission to collect
information on this Form 1-N. See 15 U.S.C. §§ 78c(a)(1), 78e, 78f(a), and 78w(a).
Form 1-N is designed to enable the Commission to determine whether a Security Futures Product Exchange is in compliance
with the Exchange Act.
It is estimated that an exchange will spend approximately 31 hours completing the initial application on Form 1-N pursuant to
Rule 6a-4. It also is estimated that each Security Futures Product Exchange will spend approximately 15 hours to prepare each
amendment to Form 1-N pursuant to Rule 6a-4.
Any member of the public may direct to the Commission any comments concerning the accuracy of this burden estimate and
any suggestions for reducing this burden.
It is mandatory that an exchange seeking to operate as a national securities exchange for the sole purpose of trading security
futures products file a Form 1-N with the Commission. It is also mandatory that Security Futures Product Exchanges file
amendments to Form 1-N under Rule 6a-4.
No assurance of confidentiality is given by the Commission with respect to the responses made in Form 1-N. The public has
access to the information contained in Form 1-N.
This collection of information has been reviewed by the Office of Management and Budget in accordance with the clearance
requirements of 44 U.S.C. § 3507. The applicable Privacy Act system of records is SEC-2 and the routine uses of the records
are set forth at 40 FR 39255 (August 27, 1975) and 41 FR 5318 (February 5, 1976).

Form 1-N
Page 1
Execution Page

U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL
SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY
FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT

Date filed
(MM/DD/YY):

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books
and records or otherwise to comply with the provisions of law applying to the conduct of a national securities exchange would violate the federal
securities laws and may result in disciplinary, administrative or criminal action.
INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE CRIMINAL VIOLATIONS

AMENDMENT

APPLICATION
1.

State the name of the exchange: _________________________________________________________________________________

2.

Provide the Security Futures Product Exchange’s primary street address (Do not use a P.O. Box):
______________________________________________________________________________________________________________
______________________________________________________________________________________________________________

3.

Provide the exchange’s mailing address (if different):
______________________________________________________________________________________________________________
______________________________________________________________________________________________________________

4.

Provide the business telephone and facsimile number:
______________________________________________________________________________________________________________
(Telephone)
(Facsimile)

5.

Provide the name, title and telephone number of a contact employee:
______________________________________________________________________________________________________________
(Name)
(Title)
(Telephone Number)

6.

Provide the name and address of counsel for the exchange:
______________________________________________________________________________________________________________
______________________________________________________________________________________________________________

7.

Provide the date that the exchange’s fiscal year ends: ______________________________________________________________

8.

Indicate legal status of the exchange:

Corporation

Limited Liability Company

Sole Proprietorship

Partnership

Other (specify): _________________________________________

If other than a sole proprietor, indicate the date and place where the exchange obtained its legal status (e.g., state where incorporated,
place where partnership agreement was filed, or where the Security Futures Product Exchange entity was formed):
(a) Date (MM/DD/YY):______________________ (b) State/Country of formation: ___________________________________
(c) Statute under which the exchange was organized:______________________________________________________________
EXECUTION:
The exchange consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the
exchange’s activities may be given by registered or certified mail or confirmed telegram to the exchange’s contact employee at the main address, or mailing address
if different, given in Items 2 and 3. The undersigned, being first duly sworn, deposes and says that he/she has executed this form on behalf of, and with the authority
of, said exchange. The undersigned and the exchange represent that the information and statements contained herein, including exhibits, schedules, or other documents
attached hereto, and other information filed herewith, all of which are made a part hereof, are current, true, and complete.

Date: _________________________________
(MM/DD/YY)

____________________________________________

By: _________________________________
(Signature)

____________________________________________

(Name of Exchange)

(Printed Name and Title)

Subscribed and sworn before me this ___________day of ______________________, _____ by ____________________________________
(Month)
(Year)
(Notary Public)
My Commission expires ______________________ County of ______________________ State of _________________________________
This page must always be completed in full with original, manual signature and notarization.
Affix notary stamp or seal where applicable.
DO NOT WRITE BELOW THIS LINE - FOR OFFICIAL USE ONLY

U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL
SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY
FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT

Form 1-N
Page 2

OFFICIAL
USE

EXHIBITS
File all Exhibits with: a form for notice of registration as a national securities exchange for the sole purpose of trading
security futures products pursuant to Section 6(g) of the Exchange Act and Rule 6a-4, or amendments to such forms pursuant
to Rule 6a-4. For each exhibit, include the name of the filing exchange, the date upon which the exhibit was filed, and the
date as of which the information is accurate (if different from the date of the filing). If any Exhibit required is inapplicable,
a statement to that effect shall be furnished in lieu of such Exhibit.
Exhibit A

As of the latest date practicable within one (1) month of the date Form 1-N is filed, a copy of the constitution,
articles of incorporation or association with all subsequent amendments, and existing by-laws or corresponding
rules or instruments, whatever the name, of the filing exchange.

Exhibit B

As of the latest date practicable within one (1) month of the date Form 1-N is filed, a copy of all written rulings,
settled practices having the effect of rules, and interpretations of the Governing Board or other committee of
the exchange in respect of any provisions of the constitution, by-laws, rules, or trading practices of the filing
exchange which are not included in Exhibit A.

Exhibit C

As of the latest date practicable within one (1) month of the date Form 1-N is filed, for each subsidiary or
affiliate of the filing exchange that will be involved in the trading of security futures products, and for any entity
with whom the exchange has a contractual or other agreement relating to the operation of an electronic trading
system to be used to effect transactions in security futures products on the exchange (“System”), provide the
following information:
1.

Name and address of organization.

2.

Form of organization (e.g., association, corporation, partnership, etc.).

3.

Name of state and statute citation under which organized. Date of incorporation in present form.

4.

Brief description of nature and extent of affiliation.

5.

Brief description of business or functions. Description should include responsibilities with respect to
operation of the System and/or execution, reporting, clearance (including the controls that will be
implemented to ensure the safety of held funds or securities), or settlement of transactions in connection
with operation of the System.

6.

A copy of the constitution.

7.

A copy of the articles of incorporation or association including all amendments.

8.

A copy of existing by-laws or corresponding rules or instruments.

9.

The name and title of the present officers, governors, or persons performing similar functions.

10. An indication of whether such business or organization ceased to be associated with the Security Futures
Product Exchange during the previous year, and a brief statement of the reasons for termination of the
association.
Exhibit D

Describe the manner of operation of the System involving trading of security futures products. This
description should include the following:
1.

The means of access to the System.

2.

Procedures governing entry and display of quotations and orders in the System.

3.

Procedures governing the execution, reporting, clearance, and settlement of transactions in connection
with the System.

4.

Proposed fees.

5.

Procedures for ensuring compliance with System usage guidelines.

OFFICIAL
USE
ONLY

U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL
SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY
FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT

Form 1-N
Page 3

Exhibit E

Exhibit F

OFFICIAL
USE

6.

The hours of operation of the System, and the date on which the exchange intends to commence operation
of the System.

7.

Attach a copy of the users’ manual.

A list of the officers, governors, or persons performing similar functions, who presently hold or have held their
offices or positions during the previous year, indicating the following for each:
1.

Name.

2.

Title.

3.

Dates of commencement and termination of term of office or position.

4.

Type of business in which each is primarily engaged.

This Exhibit is applicable only to filing exchanges that have one or more owners, shareholders, or partners that
are not also members of the exchange and should be current as of the latest date practicable within 1 month
of the date Form 1-N is filed. If the exchange is a corporation, please provide a list of each shareholder that
directly owns 5% or more of a class of a voting security of the Security Futures Product Exchange. If the
exchange is a partnership, please provide a list of all general partners and those limited and special partners
that have the right to receive upon dissolution, or have contributed, 5% or more of the partnership’s capital.
For each of the persons listed in the Exhibit F, please provide the following:
1.

Full legal name.

2.

Title or Status.

3.

Date title or status was acquired.

4.

Approximate ownership interest.

5.

Whether the person has control, a term that is defined in the instructions to this Form.

Exhibit G

To the extent not covered in an exchange’s rules submitted under Exhibit A, describe the Security Futures
Product Exchange’s criteria for membership. Describe conditions under which members may be subject to
suspension or termination for infractions relating to the trading of security futures products. Describe any
procedures that will be involved in the suspension or termination of a member for such infractions.

Exhibit H

As of the latest date practicable within 1 month of the date Form 1-N is filed, provide an alphabetical list of
all members, participants, subscribers, or other users, including the following information:

Exhibit I

1.

Name.

2.

If member, participant, subscriber, or other user is an individual, the name of the entity with which such
individual is associated and the relationship of such individual to the entity (e.g., partner, officer, director,
employee, etc.).

3.

Brief description of the type of activities primarily engaged in by the member, participant, subscriber, or
other user. A person shall be “primarily engaged” in an activity or function for purposes of this item when
that activity or function is the one in which that person is engaged for the majority of their time. When
more than one type of person at an entity engages in activities or functions, identify each type and state
the number of members, participants, subscribers, or other users in each.

4.

The class of membership, participation, subscription, or other access.

Provide a schedule of the security futures products proposed to be listed by the filing exchange, or for
amendments to the Form 1-N the security futures products listed by the exchange, indicating for each the name
of the issuer and a description of the security

OFFICIAL
USE
ONLY