Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 Page 4
Download a blank fillable Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 in PDF format just by clicking the "DOWNLOAD PDF" button.
Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.
Complete Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.
Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.
ADVERTISEMENT
1
2
3
4
5
6
7UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Form 1
Date filed
OFFICIAL
WASHINGTON, D.C. 20549
Page 1
(MM/DD/YY):
USE
APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR,
Execution
ONLY
REGISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION
Page
FROM REGISTRATION PURSUANT TO SECTION 5 OF THE EXCHANGE ACT
WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to
keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of the applicant
would violate the federal securities laws and may result in disciplinary , administrative, or criminal action.
INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE CRIMINAL VIOLATIONS
… APPLICATION
… AMENDMENT
1. State the name of the applicant:
2. Provide the applicant’s primary street address
(Do not use a P.O. Box):
3. Provide the applicant’s mailing address
(if different):
4. Provide the applicant’s business telephone and facsimile number:
(Telephone)
(Facsimile)
5. Provide the name, title, and telephone number of a contact employee:
(Name)
(Title)
(Telephone Number)
6. Provide the name and address of counsel for the applicant:
7. Provide the date applicant’s fiscal year ends:
8. Indicate legal status of applicant:
… Corporation
… Sole Proprietorship
… Partnership
… Limited Liability Company
… Other (specify):
If other than a sole proprietor, indicate the date and place where applicant obtained its legal status (e.g. state
where incorporated, place where partnership agreement was filed or where applicant entity was formed):
(a) Date
(b) State/Country of formation:
(MM/DD/YY):
(c) Statute under which applicant was organized:
EXECUTION:
The applicant consents that service of any civil action brought by , or notice of any proceeding before, the Securities and
Exchange Commission in connection with the applicant’s activities may be given by registered or certified mail or confirmed telegram to the
applicant’s contact employee at the main address, or mailing address if different, given in Items 2 and 3. The undersigned, being first duly
sworn, deposes and says that he/she has executed this form on behalf of , and with the authority of , said applicant. The unders igned and
applicant represent that the information and statements contained herein, including exhibits, schedules, or other documents att ached hereto,
and other information filed herewith, all of which are made a part hereof, are current, true, and complete.
Date:
(MM/DD/YY)
(Name of applicant)
By:
(Signature)
(Printed Name and Title)
______________________________
Subscribed and sworn before me this _______ day of _________________, __________ by
(Month)
(Year)
(Notary Public)
My Commission expires __________________ County of _____________________ S tate of ______________________________
This page must always be completed in full with original, manual signature and notarization.
Affix notary stamp or seal where applicable.
4
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Bb-692-002 - Application For Licensure As A Bail Bond Agency Or Bail Bond Agency Branch Office 1999
Legal
Form G-finw - Notice By Financial Institutions Of Termination Of Activities As A Government Securities Broker Or Government Securities Dealer
Legal
Form Psg-690-001 - Application For Licensure As A Private Security Guard Company/principal Form
Legal
Form 129-lam - Certificate Of Amendment To Articles Of Organization Of A Limited Liability Company May 1999
Legal
Form Ds-174 - Application For Employment As A Locally Employed Staff Or Family Member - U.s. Department Of State
Legal
Related Categories
Parent category: Legal