17 C.F.R. Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
Title 17 - Commodity and Securities Exchanges
The form shall be used for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Act, (15 U.S.C. 78e). [63 FR 70925, Dec. 22, 1998] Editorial Note: For This form shall be used for notice, and amendments to the notice, to permit an exchange to register as a national securities exchange solely for the purposes of trading security futures products pursuant to Section 6(g) of the Act (15 U.S.C. 78f(g)). [66 FR 43743, Aug. 20, 2001] This form shall be used by each national securities exchange to report to the Commission within ten business days after the end of every month the aggregate dollar amount of sales of securities that occurred on the exchange, had a charge date in the month of the report, and are subject to fees pursuant to section 31(b) of the Act (15 U.S.C. 78ee) and §240.31 of this chapter; and the total number of round turn transactions in security futures that occurred on the exchange, had a charge date in the month of the report, and are subject to assessments pursuant to section 31(d) of the Act and §240.31 of this chapter. This form also shall be used by a national securities association to report to the Commission within ten business days after the end of every month the aggregate dollar amount of sales of securities that occurred by or through a member of the association otherwise than on a national securities exchange, had a charge date in the month of the report, and are subject to fees pursuant to section 31(c) of the Act and §240.31 of this chapter; and the total number of round turn transactions in security futures that occurred by or through any member of the association otherwise than on a national securities exchange, had a charge date in the month of the report, and are subject to assessments pursuant to section 31(d) of the Act and §240.31 of this chapter. [69 FR 41080, July 7, 2004] This form shall be used by registered national securities exchanges and issuers for notification of removal of a class of securities from listing on a national securities exchange and/or withdrawal of registration under section 12(b) of the Act (15 U.S.C. 78l(b)). [70 FR 42469, July 22, 2005] Editorial Note: For This form shall be used by a registered national securities exchange for notification of the admission to trading of a substituted or additional class of security under Rule 12a–5. [33 FR 18995, Dec. 20, 1968] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
§ 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
§ 249.10 Form 1–N for notice registration as a national securities exchange.
§ 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
§ 249.25 Form 25, for notification of removal from listing and/or registration.
§ 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a–5 (§240.12a–5 of this chapter).
