Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 Page 3

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FORM 1 INSTRUCTIONS
B. EXPLANATION OF TERMS
APPLICANT - The entity or organization filing an application for registration or an exemption for registration, or amending
any such application on this Form 1.
AFFILIATE - Any person that, directly or indirectly, controls, is under common control with, or is controlled by, the national
securities exchange or exchange exempt from registration based on the limited volume of transactions effected on such
exchange, including any employees.
CONTROL - The power, directly or indirectly, to direct the management or policies of a company , whether through ownership
of securities, by contract, or otherwise. Any person that (i) is a director, general partner or officer exercising executive
responsibility (or having similar status or functions); (ii) directly or indirectly has the right to vote 25% or more of a class of
voting securities or has the power to sell or direct the sale of 25% or more of a class of voting securities; or (iii) in the case of
a partnership, has the right to receive, upon dissolution, or has contributed, 25% or more of the capital, is presumed to
control that entity.
DIRECT OWNERS - Any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale
of, 5% or more of a class of a voting security of the applicant. For purposes of this F orm 1, a person beneficially owns any
securities (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law,
father-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, sharing the same residence; or (ii) that he/she has the
right to acquire, within 60 days, through the exercise of any option, warrant or right to purchase the security.
MEMBER - Shall have the same meaning as under Exchange Act Section 3(a)(3).
NATIONAL SECURITIES EXCHANGE - Shall mean any exchange registered pursuant to Section 6 of the Exchange Act.
PERSON ASSOCIATED WITH A MEMBER - Shall have the same meaning as under Section 3(a)(21) of the Exchange Act.
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