Rule 6a-3
  Supplemental Material to Be Filed
by Exchange
a.
1. A
national securities exchange, or an exchange exempted from such registration
based on limited volume, shall file with the Commission any material (including
notices, circulars, bulletins, lists, and periodicals) issued or made
generally available to members of, or participants or subscribers to,
the exchange. Such material shall be filed with the Commission within
10 days after issuing or making such material available to members, participants
or subscribers.
2.
If the information
required to be filed under paragraph (a)(1) of this section is available
continuously on an Internet web site controlled by an exchange, in lieu
of filing such information with the Commission, such exchange may:
i. Indicate
the location of the Internet web site where such information may be found;
and
ii. Certify
that the information available at such location is accurate as of its
date.
b.
Within 15 days after
the end of each calendar month, a national securities exchange or an exchange
exempted from such registration based on limited volume, shall file a
report concerning the securities sold on such exchange during the calendar
month. Such report shall set forth:
1. The
number of shares of stock sold and the aggregate dollar amount of such
stock sold;
2. The
principal amount of bonds sold and the aggregate dollar amount of such
bonds sold; and
3. The
number of rights and warrants sold and the aggregate dollar amount of
such rights and warrants sold.
c. A national
securities exchange registered pursuant to
Section
6(g)(1) of the Act shall be exempt from the requirements of this section.
Regulatory History |
|
SEC Release 34-4383: 14 FR 7759, Dec. 29, 1949 SEC Release 34-5067: 19 FR 4723, July 31, 1954
SEC Release 34-40760: 63
FR 70844, 70919, Dec. 22, 1998
SEC Release 34-44692: 66 FR
43721, 43741, Aug. 20, 2001 |
|