Form 1, Application for registration or exemption from registration as a national securities exchange, is a U.S. Securities and Exchange Commission (SEC) form that the SEC's forms index lists under Self-Regulatory Organizations (SEC form code SEC1935). It is a different document from Form 1-N, the notice of registration as a national securities exchange solely for trading security futures products, and from Form 1-A, the Regulation A Offering Statement. On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the SEC publishes the original at https://www.sec.gov/files/form1.pdf.
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What is 1?
Form 1, Application for registration or exemption from registration as a national securities exchange, is the U.S. Securities and Exchange Commission (SEC) form, listed under Self-Regulatory Organizations, used to apply to register as a national securities exchange or for an exemption from registration.
The SEC publishes the form as a PDF and lists it in its forms index under the code SEC1935. The index files it under the category Self-Regulatory Organizations, which is the category it also gives to Form 1-N.
Several neighboring SEC forms carry similar numbers or titles, and they are not interchangeable with this one:
- Form 1-N is the form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products.
- Form 1-A is the Regulation A Offering Statement.
- Form 10 is the general form for registration of securities pursuant to Section 12(b) or (g).
Form 1 is the application named in the title above: it covers both an application for registration and an application for exemption from registration as a national securities exchange.
Who needs to file 1?
Form 1 is aimed at organizations that want to register as a national securities exchange, or that seek an exemption from registration as one. The SEC's forms index places it under Self-Regulatory Organizations, and its title names both routes: registration and exemption from registration.
It is not a form for individual investors or for companies that want to offer or register their own securities. Do not use it in these situations:
- You are giving notice of registration as a national securities exchange solely to trade security futures products. The SEC lists a separate document for that, Form 1-N.
- You are preparing a Regulation A offering. That is Form 1-A, the Regulation A Offering Statement.
- You are registering a class of securities under Section 12(b) or (g). The SEC lists Form 10 as the general form for that purpose.
The form's title does not say who signs for an applicant or who may act as a representative, so check the form itself and the SEC's materials for signature and authority requirements before you complete it.
How to fill out 1
Confirm Form 1 is the right form
Check that the title matches your purpose: an application for registration or exemption from registration as a national securities exchange. If you are giving notice for security futures products only, the SEC lists Form 1-N instead.
Open the fillable PDF
Open Form 1 on this page. The original is published by the SEC at https://www.sec.gov/files/form1.pdf.
Read the form's own headings
Go through the sections and labels printed on the PDF before you type, so you know which parts apply to your application.
Enter the information each field asks for
Complete the fields that apply, following the label printed beside each one and the agency's own directions on the form.
Compare against the SEC's current version
Check your entries against the PDF the SEC publishes, so that nothing is missing or placed under the wrong heading.
Review and download the completed PDF
Read every entry once more, then download or print the completed PDF from FillingPDF and keep a copy.
Common mistakes to avoid
- Using Form 1 to give notice of registration as a national securities exchange solely for trading security futures products; the SEC lists Form 1-N for that purpose.
- Mixing up Form 1 with Form 1-A, the Regulation A Offering Statement, because the numbers look alike.
- Treating Form 1 as a securities registration form; Form 10 is the general form for registration of securities under Section 12(b) or (g).
- Overlooking that the title covers both registration and exemption from registration, and completing the form without deciding which one you are applying for.
- Working from an old saved copy instead of the PDF the SEC currently publishes at https://www.sec.gov/files/form1.pdf.
Frequently asked questions
What is Form 1 for the SEC?
Form 1 is the SEC's Application for registration or exemption from registration as a national securities exchange. The SEC's forms index lists it under Self-Regulatory Organizations with the code SEC1935.
What is the difference between Form 1 and Form 1-N?
Form 1-N is the form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products. Form 1 is the application for registration or exemption from registration as a national securities exchange.
Is Form 1 the same as Form 1-A?
No. Form 1-A is the Regulation A Offering Statement, a different SEC document listed under the Securities Act of 1933 and Small Businesses. Form 1 is the national securities exchange application.
Where can I get the Form 1 PDF?
The SEC publishes Form 1 at https://www.sec.gov/files/form1.pdf and lists it in its forms index at https://www.sec.gov/submit-filings/forms-index. You can also fill out the PDF online on this page.
Can I fill out Form 1 online?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not affiliated with the SEC, and it does not file the form; the SEC is the agency that receives it.
What is the SEC form code for Form 1?
The SEC's forms index lists Form 1 under the code SEC1935. Form 1-N has its own code, SEC2568, and Form 1-A has SEC486, so use the code together with the title to be sure you have the right document.
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