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) of the Act, to apply forregistration or for exemption from registration or to amend registration with the Securities and Exchange Commission (the Commission ). As used hereinafter, the term form CA-1 includes the form and any required schedules, exhibits orattachments agencies are required to file four completed copies of form CA-1 with the Commission, 100 F Street, ,Washington, 20549.
Errors and Ommissions $ $ 4. Mail Policy $ $ 5. Air Courier $ $ 6. Lost Instrument $ $ 7. Other (please specify on Schedule A) $ $ (b) If any of registrant’s clearing activities are not covered by insurance, has provision been made for self-insurance? ...
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