Form X-17a-19 - Information Required Of National Securities Exchanges Page 2
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1
2GENERAL INSTRUCTIONS
FORM X-17A-19
1. This Form shall be completed and filed within 5 business days of the occurrence of one or more of the changes in membership
status listed in Item 2 and/or 3 on this Form or promptly upon learning that such changes will occur. If the information first
becomes available after the change in membership status has occurred, the Form shall be completed and filed promptly.
2. Original - Mail to:
U.S. Securities and Exchange Commission
Division of Market Regulation
100 F Street, N.E.
Washington, D.C. 20549-6628
Copy No. 1 - Mail to:
Securities Investor Protection Corporation
805 15th Street, N.W., Suite 800
Washington, D.C. 20005
Copy No. 2:
Retain for your files.
3. The original filed with the Securities and Exchange Commission and the copy filed with the Securities Investor Protection
Corporation shall be executed with a manual signature by a duly authorized official of the national securities exchange or
registered securities association (self-regulatory organization).
4. If the space provided in the Form for an answer to any Item is insufficient, the answer may be printed or typed on a separate
insert page or pages which shall be incorporated into the statement by reference thereto in the space provided for the Item.
5. If any Item of the Form is inapplicable, a statement to that effect shall be made following the Item.
6. Change of member’s address is required to be reported only by the examining authority.
7. Copies of this Form may be obtained from the main office of the Securities and Exchange Commission in Washington, D.C.
8. The Securities and Exchange Commission will use a copy of this Form to notify Securities Investor Protection Corporation
and the affected self-regulatory organizations of any action that is taken.
(ADVISE BROKER-DEALER OF ITS OBLIGATION TO AMEND ITS FORM BD OR FILE FORM BDW)
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