§ 240.6a-3 Supplemental material to be filed by exchanges.  


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  • (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 (15 U.S.C. 78f(g)(1)) shall be exempt from the requirements of this section.

    [63 FR 70919, Dec. 22, 1998, as amended at 66 FR 43741, Aug. 20, 2001]