Transcription of FORM CA-1 - SEC
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FORM CA-1 - SEC
OMB APPROVAL OMB Number: 3235-0195 Expires: 1oYePber 3 , 20 3 Estimated average burden hours per response STATES SECURITIES AND EXCHANGE COMMISSION Washington, 20549 form CA-1 APPLICATION FOR registration OR FOR EXEMPTION FROM registration AS A CLEARING AGENCY AND FOR AMENDMENT TO registration PURSUANT TO THE SECURITIES EXCHANGE ACT OF 1934 ( the Act ) INSTRUCTIONS FOR USE OF form CA-1 Instructions for Preparing and Filing form CA-1 is to be used by clearing agencies, as defined in Section 3(a)(23) of the Act, which perform the functions of a clearingagency with respect to any security other than an exempted security, as defined in Section 3(a)(l2)
In addition, with respect to a clearing agency for which the Commission is not the appropriate ... registration, as an application for exemption from registration or as an amendment to a previously filed Form CA-1. 9. Unless the context clearly indicates otherwise, the terms used in Form CA-1 have the meanings given in the Act. ...
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