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Rule X-3B-1. Definition of “Listed.”
The term "listed” means admitted to full trading privileges upon application by the issuer or its fiscal agent or, in the case of the securities of a foreign corporation, upon application by a banker engaged in distributing them; and includes securities for which authority to add to the list on official notice of issuance has been granted. Rule X-3B-2. Definition of “Officer."
The term "officer” means a president, vice president, treasurer, secretary, comptroller, and any other person who performs for an issuer, whether incorporated or unincorporated, functions corresponding to those performed by the foregoing officers. Rule X-3B-3. Definition of “Short Sale."
The term “short sale” means any sale of a security which the seller does not own or any sale which is consummated by the delivery of a security borrowed by, or for the account of, the seller.
REGISTRATION AND EXEMPTION OF EXCHANGES
Rule X-6A-1. Form of Application and Amendments.
(a) An application of an exchange for registration as a national securities exchange, or for exemption from such registration, shall be made in duplicate on form 1, each of which shall be accompanied by the statement and exhibits prescribed to be filed in connection therewith.
(6) An amendment to such application shall be made in duplicate on form 1-A, and each amendment shall be dated and numbered in order of filing.
(c) 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.
(d) 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. Rule X-6A-2. Annual Amendments to Registration Statement or
Exemption Statements of Exchanges. Prior to June 30 of each year each exchange registered as a national securities exchange or exempted from such registration shall file an annual amendment setting forth:
(a) All changes, and the effective dates thereof, which have been effected in any of the information contained or incorporated in the statement, or in exhibits A (1), A (2), A (3), B, C, and D, and which have not previously been reported in an annual amendment. Such amendment shall bring the statement and exhibits A (1), A (2), A (3), B, C, and D up to date as of the latest practicable date within one month of the date on which the amendment is filed. In the event that no changes have occurred in any of this material during the period covered by the amendment, a statement to that effect shall be set forth in the amendment.
(6) Complete exhibits E and F as of the end of the latest fiscal year of the exchange, and of each affiliate and subsidiary listed in answer to item 8 of the statement. In the event that exhibit F is inapplicable to the exchange for the reason that it has no affiliate or subsidiary, the amendment shall include a statement to that effect in lieu of the information called for in exhibit F.
(c) Complete exhibits G, H, I, J, K, L, and M. The information contained in these exhibits shall be up to date as of the latest practicable date within 3 months of the date on which the annual amendment is filed. Rule X-6A-3. Supplemental Material.
Each exchange registered as a national securities exchange or exempted from such registration shall furnish the following supplemental material:
(a) Within 10 days after any action is taken which renders no longer accurate any of the information contained or incorporated in the statement or in any exhibit (except exhibits E, F, L, and M), or in any amendment thereto, the exchange shall file with the Commission written notification in triplicate setting forth the nature of such action and the effective date thereof. Such notification may be filed either in the form of a letter or in the form of a notice made generally
a available to members of the exchange.
(6) Within 10 days after issuing or making generally available to members of the exchange any material (including notices, circulars, bulletins, lists, periodicals, etc.) the exchange shall file with the Commission 3 copies of such material.
(c) Within 15 days after the end of each calendar month, the exchange shall file with the Commission a report concerning the securities sold on such exchange during such calendar month, setting forth:
(1) the number of shares of stock sold and the aggregate dollar amount thereof;
(2) the principal amount of bonds sold and the aggregate dollar amount thereof; and
(3) the number of units of rights and warrants sold and the aggregate dollar amount thereof.
EXEMPTION CERIES IN
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