Form Ca-1 Application For Registration Or For Exemption From Registration (Page 2 of 7) in pdf

II. Instructions Relating to Filing Form CA-1 as a Registration Form or an Application for Exemption From Registration

10. If Form CA-1 is being filed as a registration form or an application for exemption from registration, all applicable items are

required to be answered in full. If any item is not applicable, respond with “none” or “N/A” (not applicable), as appropriate.

11. If Form CA-1 is being filed as an application for exemption from registration, it must be accompanied by a statement

demonstrating why the granting of an exemption from registration as a clearing agency would be consistent with the public

interest, the protection of investors and the purposes of Section 17A of the Act.

III. Instructions Relating to Filing Form CA-1 as an Amendment to a Registration Form

12. Promptly following the date on which information reported at items 1-3 of Form CA-1 becomes inaccurate, incomplete or

misleading, the registrant shall file an amendment on Form CA-1 correcting the inaccurate, incomplete or misleading

information.

13. If an item is amended, the registrant must repeat all unamended items as they last appeared on the page on which the amended

item appears and must file four copies of the new page, each with updated and properly completed cover and execution pages.

IV. Instructions as to SPECIFIC ITEMS on Form CA-1

14. Cover page—Indicate whether Form CA-1 is filed as a registration, an application for exemption from registration or an

amendment. If the Form is filed as a registration, indicate whether the applicant requests the Commission to consider granting

registration in accordance with paragraph (c)(1) of Rule 17Ab2-1.

15. Item I—Include a street address; a post office box alone is not acceptable.

16. In responding to, and furnishing the schedules required by, the items on Form CA-1, particularly items 5(c)(ii) and 5(d)(ii) and

the exhibits required by items 20 and 21, the registrant may request that confidential treatment be accorded with respect to the

information disclosed, by binding the responses, schedules and exhibits for which confidential treatment is sought separately

from the balance of Form CA-1 and furnishing a statement requesting confidential treatment, specifying both the exemptive

provision under the Freedom of Information Act (5 U.S.C. 552(b)) on which the request is based and the considerations which

make the exemptive provision applicable to the information for which confidential treatment is requested.

V. Notice

17. Under Sections 17, 17A(b) and 23(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the

Securities and Exchange Commission is authorized to solicit the information required to be supplied by this Form from

applicants for registration or for exemption from registration as a clearing agency. Disclosure to the Commission of the

information requested in Form CA-1 (except for the disclosure by an individual registrant of his Social Security number as an

IRS Employee Identification Number, which is voluntary) is a prerequisite to the processing of applications for registration or

for exemption from registration as a clearing agency. The information will be used for the principal purpose of determining

whether the Commission should grant registration or an exemption from registration or institute proceedings to deny

registration. Social Security numbers, if furnished, will be used only to assist the Commission in identifying applicants and,

therefore, in promptly processing applications. Information supplied on this Form will be included routinely in the public files

of the Commission. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of

information unless it displays a current valid control number.

Form Ca-1 Application For Registration Or For Exemption From Registration Page 2