Sec Form 1-N - Form And Amendments For Notice Of Registration As A National Securities Page 5

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U.S. SECURITIES AND EXCHANGE COMMISSION
Form 1-N
OFFICIAL
OFFICIAL
WASHINGTON, D.C. 20549
Page 3
USE
USE
FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL
ONLY
SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY
FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT
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.
Exhibit E
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.
Exhibit F
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:
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.
Exhibit I
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

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