U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

National Securities Exchanges

A "national securities exchange" is a securities exchange that has registered with the SEC under Section 6 of the Securities Exchange Act of 1934.

There are currently ten securities exchanges registered with the SEC as national securities exchanges:

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.

There are also two exchanges that the SEC has exempted from registration as national securities exchanges on the basis of a limited volume of transactions:

  • Arizona Stock Exchange
  • virt-x plc (formerly known as Tradepoint)

On January 13, 2006, the Commission issued an order approving the application of the Nasdaq Stock Market to become a registered national securities exchange.  The Financial Industry Regulatory Authority (FINRA) is a registered national securities association that oversees the operations of the Nasdaq Stock Market.

 

http://www.sec.gov/answers/exchanges.htm

We have provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

Home | Previous Page
Modified: 03/26/2008