Code of Federal Regulations · Section
§ 249.1 — Form 1, For Application For, And Amendments To Applications For, Registration As A National Securities Exchange Or Exemption From Registration Pursuant To Section 5 Of The Exchange Act
17 C.F.R. § 249.1
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The form shall be used for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Act, (15 U.S.C. 78e).
For Federal Register citations affecting Form 1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Authorizing Statute
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Transactions on unregistered exchanges15 U.S.C. § 78e
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Definitions and application15 U.S.C. § 78c
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Periodical and other reports15 U.S.C. § 78m
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Operations of designated financial market utilities12 U.S.C. § 5465
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Findings and purposes12 U.S.C. § 5461
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Short title15 U.S.C. § 78a