Form Sbse-W - Request For Withdrawal From Registration As A Security-Based Swap Dealer Or Major Security-Based Swap Participant Page 2
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3FORM SBSE-W INSTRUCTIONS
A.
GENERAL INSTRUCTIONS
1. Security-based swap dealers and major security-based swap participants (collectively “SBS Entities”) must file Form SBSE-W
to withdraw their registration from the Securities and Exchange Commission (“SEC”).
2. All questions must be answered and all fields requiring a response must be complete before the filing is accepted.
3. The registrant must file Form SBSE-W through the EDGAR system, and must utilize the EDGAR Filer Manual (as defined in
17 CFR 232. 11) to file and amend Form SBSE-W electronically to assure the timely acceptance and processing of those
filings. Prior to filing Form SBSE-W, amend Form SBSE, Form SBSE-A, or Form SBSE-BD, as applicable, in accordance with
Rule 15Fb2-3 [17 CFR 240.15Fb2-3], to update any incomplete or inaccurate information.
4. A paper copy of this Form SBSE-W with the original manual signature(s) must be retained by the security-based swap dealer
or major security-based swap participant filing the Form SBSE-W and be made available for inspection upon a regulatory
request. A paper copy of the initial Form SBSE, Form SBSE-A, or Form SBSE-BD filing, as appropriate, and amendments to
any Disclosure Reporting Pages (DRPs) also must be retained by the security-based swap dealer and major security-based
swap participant filing the Form SBSE-W.
The mailing address for questions and correspondence is:
The Securities and Exchange Commission
Washington, DC 20549
EXPLANATION OF TERMS
(The following terms are italicized throughout this form.)
The term INVESTIGATION includes: (a) grand jury investigations, (b) U.S. Securities and Exchange Commission investigations
after the “Wells” notice has been given, (c) formal investigations by a self-regulatory organization or, (d) actions or procedures
designated as investigations by jurisdictions. The term investigation does not include subpoenas, preliminary or routine regulatory
inquiries or requests for information, deficiency letters, “blue sheet” requests or other trading questionnaires, or examinations.
The term INVESTMENT-RELATED pertains to securities, commodities, banking, savings association activities, credit union
activities, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, municipal
securities dealer, government securities broker or dealer, issuer, investment company, investment adviser, futures sponsor, bank,
savings association, credit union, insurance company, or insurance agency).
FEDERAL INFORMATION LAW AND REQUIREMENTS – SEC’s Colllection of Information
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a
currently valid control number. Sections 15F, 17(a) and 23(a) of the Exchange Act authorize the SEC to collect the information on
this form from registrants. See 15 U.S.C. §§ 78o-10, 78q and 78w. Filing of this Form is mandatory. The principal purpose of this
Form is to permit the Commission to determine whether it is necessary or appropriate in the public interest or for the protection of
investors to permit the security-based swap dealer or major security-based swap participant to withdraw its registration. The
Commission maintains a file of the information on this Form and will make the information publicly available. Any member of the
public may direct to the Commission any comments concerning the accuracy of the burden estimate on this Form, and any
suggestions for reducing this burden. This collection of information has been reviewed by the Office of Management and Budget in
accordance with the clearance requirements of 44 U.S.C. §3507. The information contained in this form is part of a system of
records subject to the Privacy Act of 1974, as amended. The Securities and Exchange Commission has published in the Federal
Register the Privacy Act Systems of Records Notice for these records.
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