SEC Form X-15AJ-1

SEC Form X-15AJ-1
A form that is filed with the SEC as an amendatory and/or supplementary statement to Form X-15AA-1. SEC Form X-15AJ-1 amends Form X-15AA-1, which is an application to the SEC for registration as a national securities association or affiliated securities association by an association of brokers and dealers under Section 15A of the Securities Exchange Act of 1934.

An association of securities brokers and dealers may file to become a national securities association pursuant to subsection b of Section 15A or an affiliated securities association pursuant to subsection d of section 15A.


Investment dictionary. . 2012.

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  • SEC Form X-15AJ-2 — This form is the annual consolidated supplement , a form that is filed annually with the SEC by national securities associations and affiliated securities associations. SEC Form X 15AJ 2, the consolidated supplement, must be accompanied by three… …   Investment dictionary

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