Form Ca-1 Application For Registration Or For Exemption From Registration Page 5

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(d) (i) Does the registrant maintain a clearing or participants’ fund, mark to the market open obligations involving the
purchase or sale of securities or otherwise required participants to protect registrant against losses to which it may be
exposed as a result of a participant’s failure to perform its obligations to the clearing agency, any other participant or
†Yes †No
any other person? ......................................................................................................................
(ii) If “yes,” describe on Schedule A the operational, organizational or other rules, procedures or practices (citing rules
if applicable) which are designed to protect registrant against any such losses.
†Yes †No
6. (a) Is registrant audited by an independent accountant? .......................................................................................
(b) If registrant is audited by an independent accountant, does the audit include a review of internal controls related to clearing
†Yes †No
agency activities? .................................................................................................................................
(c) Fiscal year-end of registrant __________/__________ (Day/Month)
7. (a) What are registrant’s internal policies and procedures for reconciling differences (including long and short stock record
differences and dividend differences) in its clearing agency activities? (Describe on Schedule A.)
(b) State, as of September 30, 1975, the dollar amount of the potential exposure of registrant, if any, as a result of differences
(without offsetting long differences against short differences and without offsetting any suspense account items) in its
clearing agency activities not resolved after 20 business days. $ ______________________________________________________
8. (a) How many employees does registrant have engaged in clearing agency activities? ____________________________________
(b) How many years has registrant performed clearing agency activities? ______________________________________________
9. (a) Are registrant’s clearing agency activities subject to regulation by any federal agency other than the Commission or by any state
†Yes †No
or political subdivision? ...................................................................................................................................
If yes, specify the name of the agency, state or political subdivision:
_________________________________________________________________________________________________________________
(b) Have the registrant’s clearing agency activities been the subject of periodic examinations by any federal agency other than
†Yes †No
the Commission or by any state or political subdivision? .....................................................................
If yes, specify the name of the agency, state or political subdivision:
_________________________________________________________________________________________________________
SCHEDULE A OF FORM CA-1
1.
Full name of Registrant as stated in Item 1 of Form CA-1
2.
Item of Form
Response
(Identify)
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