Form 1 - Application For, And Amendments To Application For, Registration As A National Securities Exchange Or Exemption From Registration - 1999 Page 7
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7UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Form 1
OFFICIAL
OFFICIAL
WASHINGTON, D.C. 20549
Page 4
USE
USE
APPLICATION FOR, AND AMENDMENTS TO APPLICATION FOR,
ONLY
REG
ISTRATION AS A NATIONAL SECURITIES EXCHANGE OR EXEMPTION
FRO
M REGISTRATION PURSUANT TO SECTION 5 OF THE EXCHANGE ACT
This Exhibit is applicable only to exchanges that have one or more owners, shareholders, or partners
Exhibit K
that are not also members of the exchange. 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 applicant. 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 K, please provide the following:
1. Full legal name;
2. Title or Status;
3. Date title or status was acquired;
4. Approximate ownership interest; and
5. Whether the person has control, a term that is defined in the instructions to this Form.
Exhibit L
Describe the exchange’s criteria for membership in the exchange. Describe conditions under which
members may be subject to suspension or termination with regard to access to the exchange.
Describe any procedures that will be involved in the suspension or termination of a member.
Provide an alphabetical list of all members, participants, subscribers or other users, including the
Exhibit M
following information:
1. Name;
2. Date of election to membership or acceptance as a participant, subscriber or other user;
3. Principal business address and telephone number;
4. 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.);
5. Describe the type of activities primarily engaged in by the membe , rparticipant, subscriber, or other
user (e.g. floor broker , specialist, odd lot dealer , other market maker , proprietary trader, non-broker
dealer, inactive or other functions). 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 any of
the six types of activities or functions enumerated in this item, identify each type (e.g. proprietary
,
trader Registered Competitive Trader and Registered Competitive Market Maker) and state the
number of members, participants, subscribers, or other users in each; and
6. The class of membership, participation or subscription or other access.
Exhibit N
Provide a schedule for each of the following:
1. The securities listed in the exchange, indicating for each the name of the issuer and a description
of the security;
2. The securities admitted to unlisted trading privileges, indicating for each the name of the issuer
and a description of the security;
3. The unregistered securities admitted to trading on the exchange which are exempt from
registration under Section 12(a) of the Act. For each security listed, provide the name of the issuer
and a description of the security, and the statutory exemption claimed (e.g. Rule 12a-6); and
4. Other securities traded on the exchange, including for each the name of the issuer and a
description of the security.
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