Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934

OMB 3235-0554

OMB 3235-0554

Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act.

The latest form for Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 expires 2023-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Form and Instruction
Supporting Statement A
All Historical Document Collections
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-06-26
Approved without change
 Extension without change of a currently approved collection 2023-01-04
Approved without change
 Extension without change of a currently approved collection 2019-12-17
Approved without change
 Extension without change of a currently approved collection 2016-12-23
Approved without change
 Extension without change of a currently approved collection 2013-08-29
Approved without change
 Extension without change of a currently approved collection 2010-07-08
Approved without change
 Revision of a currently approved collection 2007-07-23
Approved without change
 Extension without change of a currently approved collection 2004-08-02
Approved without change
 New collection (Request for a new OMB Control Number) 2001-05-18
OMB Details

Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2568 (11-02)Form 1-Nwww.sec.gov/about/forms/form1-n.pdfForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.

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