Federal (United States) · Regulations
Subpart A — Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
5 sections
5 sections
- 17 C.F.R. § 249.1Form 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.
- 17 C.F.R. § 249.10Form 1-N for notice registration as a national securities exchange.
- 17 C.F.R. § 249.11Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
- 17 C.F.R. § 249.25Form 25, for notification of removal from listing and/or registration.
- 17 C.F.R. § 249.26Form 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).