General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 6a-1 -- Application for Registration as a National Securities Exchange or Exemption from Registration Based on Limited Volume
An application for registration as a national securities
exchange, or for exemption from such registration based on limited volume, shall
be filed on Form 1, in accordance with the instructions
contained therein.
Promptly after the discovery that any information filed
on Form 1 was inaccurate when filed, the exchange shall file with the Commission
an amendment correcting such inaccuracy.
Promptly after the discovery that any information in
the statement, any exhibit, or any amendment was inaccurate when filed, the exchange
shall file with the Commission an amendment correcting such inaccuracy.
Whenever the number of changes to be reported in an
amendment, or the number of amendments filed, are so great that the purpose of clarity
will be promoted by the filing of a new complete statement and exhibits, an exchange
may, at its election, or shall, upon request of the Commission, file as an amendment
a complete new statement together with all exhibits which are prescribed to be filed
in connection with Form 1.
Notice to Users: The Deskbook is made available
with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
