Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 Page 5
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7UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Form 1
OFFICIAL
OFFICIAL
WASHINGTON, D.C. 20549
Page 2
USE
USE
APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR,
ONLY
REGISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION
FROM REGISTRATION PURSUANT TO SECTION 5 OF THE EXCHANGE ACT
DO NOT WRITE BELOW THIS LINE - FOR OFFICIAL USE ONLY
EXHIBITS
File all Exhibits with an application for registration as a national securities exchange or exemption from registration
pursuant to Section 5 of the Exchange Act and Rule 6a-1, or with amendments to such applications pursuant to
Rule 6a-2. For each exhibit, include the name of the applicant, the date upon which the exhibit was filed and the
date as of which the information is accurate (if different from the date of the filing). If any Exhibit required is
inapplicable a statement to that effect shall be furnished in lieu of such Exhibit.
Exhibit A
A copy of the constitution, articles of incorporation or association with all subsequent amendments,
and of existing by-laws or corresponding rules or instruments, whatever the name, of the applicant.
Exhibit B
A copy of all written rulings, settled practices having the effect of rules, and interpretations of the
Governing Board or other committee of the applicant in respect of any provisions of the constitution,
by-laws, rules, or trading practices of the applicant which are not included in Exhibit A.
Exhibit C
For each subsidiary or affiliate of the applicant, and for any entity with whom the applicant has a
contractual or other agreement relating to the operation of an electronic trading system to be used to
effect transactions on the exchange (“System”), provide the following information:
1. Name and address of organization.
2. Form of organization (e.g., association, corporation, partnership, etc.).
3. Name of state and statute citation under which organized. Date of incorporation in present form.
4. Brief description of nature and extent of affiliation.
5. Brief description of business or functions. Description should include responsibilities with respect
to operation of the System and/or execution, reporting, clearance, or settlement of transactions in
connection with operation of the System.
6. A copy of the constitution.
7. A copy of the articles of incorporation or association including all amendments.
8. A copy of existing by-laws or corresponding rules or instruments.
9. The name and title of the present officers, governors, members of all standing committees, or
persons performing similar functions.
10. An indication of whether such business or organization ceased to be associated with the applicant
during the previous year, and a brief statement of the reasons for termination of the association.
Exhibit D
For each subsidiary or affiliate of the exchange, provide unconsolidated financial statements for the
latest fiscal year. Such financial statements shall consist, at a minimum, of a balance sheet and an
income statement with such footnotes and other disclosures as are necessary to avoid rendering the
financial statements misleading. If any affiliate or subsidiary is required by another Commission rule to
submit annual financial statements, a statement to that effect, with a citation to the other Commission
rule, may be provided in lieu of the financial statements required here.
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