Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 Page 6
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7UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Form 1
OFFICIAL
OFFICIAL
WASHINGTON, D.C. 20549
Page 3
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
EXHIBITS
Describe the manner of operation of the System. This description should include the following:
Exhibit E
1. The means of access to the System.
2. Procedures governing entry and display of quotations and orders in the System.
3. Procedures governing the execution, reporting, clearance and settlement of transactions in
connection with the System.
4. Proposed fees.
5. Procedures for ensuring compliance with System usage guidelines.
6. The hours of operation of the System, and the date on which applicant intends to commence
operation of the System.
7. Attach a copy of the users’ manual.
8. If applicant proposes to hold funds or securities on a regular basis, describe the controls that will
be implemented to ensure safety of those funds or securities.
A complete set of all forms pertaining to:
Exhibit F
1. Application for membership, participation, or subscription to the entity.
2. Application for approval as a person associated with a member , participant, or subscriber of the
entity.
3. Any other similar materials.
A complete set of all forms of financial statements, reports, or questionnaires required of members,
Exhibit G
participants, subscribers, or any other users relating to financial responsibility or minimum capital
requirements for such members, participants, or any other users. Provide a table of contents listing the
forms included in this Exhibit G.
A complete set of documents comprising the applicant’s listing applications, including any agreements
Exhibit H
required to be executed in connection with listing and a schedule of listing fees. If the applicant does
not list securities, provide a brief description of the criteria used to determine what securities may be
traded on the exchange. Provide a table of contents listing the forms included in this Exhibit H.
For the latest fiscal year of the applicant, audited financial statements which are prepared in accordance
Exhibit I
with, or in the case of a foreign applicant, reconciled with, United States generally accepted accounting
principles, and are covered by a report prepared by an independent public accountant. If an applicant
has no consolidated subsidiaries, it shall file audited financial statements under Exhibit I alone and
need not file a separate unaudited financial statement for the applicant under Exhibit D.
A list of the officers, governors, members of all standing committees, or persons performing similar
functions, who presently hold or have held their offices or positions during the previous year , indicating
Exhibit J
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 (e.g., floor broker, specialist, odd lot dealer,
etc.).
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