Form Ca-1 Application For Registration Or For Exemption From Registration printable pdf download

OMB APPROVAL

OMB Number:

3235-0195

Expires:

September 30, 2017

Estimated average burden

hours per response

130.00

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 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

I. General Instructions for Preparing and Filing Form CA-1

l. 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 clearing

agency with respect to any security other than an exempted security, as defined in Section 3(a)(l2) of the Act, to apply for

registration 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 or

attachments thereto.

2. Clearing agencies are required to file four completed copies of Form CA-1 with the Commission, 100 F Street, N.E.,

Washington, D.C. 20549. In addition, with respect to a clearing agency for which the Commission is not the appropriate

regulatory agency, as defined in Section 3(a)(34)(B) of the Act, Section 17(c)(1) of the Act requires such clearing agency to

file with the appropriate regulatory agency for such clearing agency a signed copy of any application, document or report filed

with the Commission. 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

respect to filing have been complied with. A Form CA-1 which is not prepared and executed in compliance with applicable

requirements may be returned as not acceptable for filing. However, acceptance of Form CA-1 shall not constitute a finding

that it has been filed as required or that the information submitted is true, current or complete.

4. Copies of Form CA-1 and the schedules, exhibits and attachments thereto may be duplicated and are acceptable for filing

provided an original, manual signature is affixed to the execution section of each copy. Form CA-1 and the schedules, exhibits

and attachments thereto may be duplicated by any method producing legible copies, of type size identical to that in the Form,

on good quality, unglazed, white paper.

5. If Form CA-1 is filed by a corporation, it shall be signed in the name of the corporation by a principal officer duly authorized;

if it is filed other than by a corporation it shall be signed by a duly authorized principal of the organization filing the Form. As

used in this Form, principal officer means the president, vice president, treasurer, secretary, comptroller or any other person

performing a similar function.

6. If the space provided for the answers to items 1-9 of Form CA-1 is insufficient, the complete answer shall be prepared on

Schedule A, which shall be attached to the Form.

7. Individuals’ names, except for executing signatures, shall be given in full wherever required (last name, first name, middle

name). The full middle name is required. Initials are not acceptable unless the individual legally has only an initial.

8. Unless the context otherwise requires, “registrant” means the entity on whose behalf Form CA-1 is filed, whether filed as a

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.

Persons who respond to the collection of information contained

in this form are not required to respond unless the form displays

SEC1853 (2-09)

a currently valid OMB control number.

Form Ca-1 Application For Registration Or For Exemption From Registration

Related Articles

Related forms

Related Categories