OMB APPROVAL OMB Number: 3235-0554 Expires: February 29, 2020 Estimated average burden hours per response. . . . . . . 31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 1-N FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT SEC 2568 (11-02) Persons who potentially are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com FORM 1-N INSTRUCTIONS A. GENERAL INSTRUCTIONS 1. 2. 3. Form 1-N is the form for notice of registration as a national securities exchange for the sole purpose of trading security futures products ("Security Futures Product Exchange") pursuant to Section 6(g) of the Securities Exchange Act of 1934 ("Exchange Act"). UPDATING - A Security Futures Product Exchange must file amendments to Form 1-N in accordance with Exchange Act Rule 6a4. CONTACT EMPLOYEE - The individual listed on the Execution Page (Page 1) of Form 1-N as the contact employee must be authorized to receive all contact information, communications, and mailings and is responsible for disseminating such information within the Security Futures Product Exchange's organization. FORMAT Attach an Execution Page (Page 1) with original manual signatures. Please type all information. Use only the current version of Form 1-N or a reproduction. If the information called for by any Exhibit is available in printed form, the printed material may be filed provided it does not exceed 8 1/2 X 11 inches in size. If any Exhibit required is inapplicable, a statement to that effect shall be furnished in lieu of such Exhibit. An exchange that is filing Form 1-N may not satisfy the requirements to provide certain information by means of an Internet web page. All materials must be filed with the Commission in paper. WHERE TO FILE AND NUMBER OF COPIES - Submit one original and two copies of Form 1-N to: Securities and Exchange Commission, Division of Market Regulation, Office of Market Supervision, 450 Fifth Street, NW, Washington, DC 20549. PAPERWORK REDUCTION ACT DISCLOSURE Form 1-N requires an exchange registering as a national securities exchange, for the sole purpose of trading security futures products, pursuant to Section 6(g) of the Exchange Act, to provide the Securities and Exchange Commission ("SEC" or "Commission") with certain information regarding its operation. If documents containing information satisfying the Commission's information requirements have been filed with the Commodity Futures Trading Commission, copies of such documents may be filed with the Commission. Security Futures Product Exchanges are also required to update certain information filed on Form 1-N on a periodic basis. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Sections 3(a)(1), 5, 6(a), and 23(a) of the Exchange Act authorize the Commission to collect information on this Form 1-N. See 15 U.S.C. §§ 78c(a)(1), 78e, 78f(a), and 78w(a). Form 1-N is designed to enable the Commission to determine whether a Security Futures Product Exchange is in compliance with the Exchange Act. It is estimated that an exchange will spend approximately 31 hours completing the initial application on Form 1-N pursuant to Rule 6a-4. It also is estimated that each Security Futures Product Exchange will spend approximately 15 hours to prepare each amendment to Form 1-N pursuant to Rule 6a-4. Any member of the public may direct to the Commission any comments concerning the accuracy of this burden estimate and any suggestions for reducing this burden. It is mandatory that an exchange seeking to operate as a national securities exchange for the sole purpose of trading security futures products file a Form 1-N with the Commission. It is also mandatory that Security Futures Product Exchanges file amendments to Form 1-N under Rule 6a-4. No assurance of confidentiality is given by the Commission with respect to the responses made in Form 1-N. The public has access to the information contained in Form 1-N. This collection of information has been reviewed by the Office of Management and Budget in accordance with the clearance requirements of 44 U.S.C. § 3507. The applicable Privacy Act system of records is SEC-2 and the routine uses of the records are set forth at 40 FR 39255 (August 27, 1975) and 41 FR 5318 (February 5, 1976). 4. 5. 6. 7. 8. 9. American LegalNet, Inc. www.FormsWorkFlow.com Form 1-N Page 1 Execution Page U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM AND AMENDMENTS FOR NOTICE OF REGISTRATION AS A NATIONAL SECURITIES EXCHANGE FOR THE SOLE PURPOSE OF TRADING SECURITY FUTURES PRODUCTS PURSUANT TO SECTION 6(g) OF THE EXCHANGE ACT Date filed (MM/DD/YY): WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of a national securities exchange would violate the federal securities laws and may result in disciplinary, administrative or criminal action. INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE CRIMINAL VIOLATIONS APPLICATION 1. 2. AMENDMENT State the name of the exchange: _________________________________________________________________________________ Provide the Security Futures Product Exchange's primary street address (Do not use a P.O. Box): ______________________________________________________________________________________________________________ ______________________________________________________________________________________________________________ Provide the exchange's mailing address (if different): ______________________________________________________________________________________________________________ ______________________________________________________________________________________________________________ Provide the business telephone and facsimile number: ______________________________________________________________________________________________________________ (Telephone) (Facsimile) Provide the name, title and telephone number of a contact employee: __________________________________________