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

Form Ca-1 Application For Registration Or For Exemption From Registration Page 7

EXHIBITS—ACCESS TO SERVICES

23. Attach as Exhibit N a list of the persons who currently participate, or who have applied for participation, in registrant’s clearing

agency activities (if registrant performs more than one activity, a columnar presentation may be utilized).

24. Attach as Exhibit O a description of any specifications, qualifications, or other criteria which limit, are interpreted to limit, or

have the effect of limiting access to, or use of, any clearing agency service furnished by the registrant and state the reasons for

imposing such specifications, qualifications, or other criteria.

25. Attach as Exhibit P copies of any form of contracts governing the terms on which persons may subscribe to clearing agency

services provided by the registrant.

26. Attach as Exhibit Q a schedule of any prices, rates or fees fixed by registrant for services rendered by its participants.

27. Attach as Exhibit R a schedule of any prohibitions or limitations imposed by the clearing agency on access by any person to

services offered by any participant.

EXHIBIT—APPLICATION FOR EXEMPTION

28. If this is an application for an exemption from registration as a clearing agency, attach as Exhibit S 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, including the prompt and accurate clearance and settlement

of securities transactions and the safeguarding of securities and funds.

Form Ca-1 Application For Registration Or For Exemption From Registration Page 7