Rule 6a-3 Supplemental Material to be Filed by Exchanges

Rule 6a-3 requires national securities exchanges (or exchanges exempt from registration because of limited volume) to submit to the Commission: (1) certain information that the exchange provides to its members, and (2) monthly reports about the number of shares and the aggregate dollar or principal amount of securities traded on that exchange. This information helps the Commission to ensure that the activities of the exchange are in conformance with the Securities Exchange Act of 1934.

The latest form for Rule 6a-3 Supplemental Material to be Filed by Exchanges expires 2028-04-30 and can be found here.