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Summary
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 Exchanges
may register asnational securities exchanges
Definitions
Exemptions
from registration
Registration
requirements
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Unregistered
and Foreign Exchanges
 Exchange
Act §5 Unregistered Exchanges
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Exchange Act § 5
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Restricts transactions on unregistered exchanges
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Brokers and dealers can only effect transactions on exchanges that are
registered as a national securities exchange
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| Exchange
Act §30 Foreign Exchanges |
SEC
Registration Statute - Rules
Exchange
Act §6
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Exchanges may register asnational securities
exchanges
- Provided that SEC makes specified determinations
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Rule
6a-1
Application for Registration - Exemption
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6a-1
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14 FR 7759, 12.29.49
63 FR 70844, 70918, 12.22.98
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Rule
6a-2
Amendments
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6a-2
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48 FR 24666, 6.02.83
59 FR 66700, 12.28.94
63 FR 70844, 70918, 12.22.98
66 FR 43721, 43741, 8.20.01
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Rule
6a-3 Supplemental Material
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6a-3
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14 FR 7759, 12.29.49
19 FR 4723, 7.31.54
63 FR 70844, 70919, 12.22.98
66 FR 43721, 43741, 8.20.01
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Rule
6a-4
Traders of Securities Futures Products
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Rule 6a-4
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See Securities Future Products
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National Securities Exchanges
SEC_CODE_REF_0090001192884
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There
are currently ten securities exchanges registered with the SEC as national
securities exchanges:
American
Stock Exchange AMEX
Boston
Stock Exchange BSE
Chicago
Board Options Exchange CBOE
Chicago
Stock Exchange CHX
International
Securities Exchange ISE
National
Stock Exchange NSX
Nasdaq
Stock Market Nasdaq
New
York Stock Exchange NYSE
NYSE
Arca
Philadelphia
Exchange Phlx
Certain
exchanges are also registered with the SEC through a notice filing under Section
6(g) of the Exchange Act for the purpose of trading security futures.
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