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)
Each clearing agency should retain an exact copy of Form CA-1 for the clearing agency’s records. 3. The date on which a Form CA-1 is received by the Commission shall be the date of filing thereof if all the requirements with ... Air Courier $ $ 6. Lost Instrument $ $ 7. Other (please specify on Schedule A) $
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