Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934
Download a blank fillable Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 in PDF format just by clicking the "DOWNLOAD PDF" button.
Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.
Complete Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.
Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.
ADVERTISEMENT
1
2
3
4
5
6OMB APPROVAL
OMB Number:
3235-0043
UNITED STATES
Expires:
July 31, 2014
Estimated average burden
SECURITIES AND EXCHANGE COMMISSION
hours per response . . . . . 400
Washington, D.C. 20549
FORM SIP
APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION
AS SECURITIES INFORMATION PROCESSOR UNDER
THE SECURITIES EXCHANGE ACT OF 1934
GENERAL INSTRUCTIONS FOR PREPARING AND FILING FORM SIP
1.
Four copies of Form SIP and Exhibits thereto are to be filed with the Securities and Exchange Commission by applicants for
registration as a securities information processor, or by registered securities information processors amending such registration,
pursuant to Section 11A of the Securities Exchange Act of 1934 and the rules and regulations thereunder. Applicants may prepare
their own form but must follow the format prescribed herein. Upon the filing of an application for registration, the Commission will
publish notice of the filing and afford interested persons an opportunity to submit written data, views and arguments concerning such
application. No application for registration shall be effective unless the Commission, by order, grants such registration.
Individuals’ names, except the executing signature in Item 11, shall be given in full (last name, first name, middle name).
2.
3.
Signatures on all copies of the Form filed with the Commission shall be executed manually. If the Form is filed by a sole proprietor,
it shall be signed by such proprietor; if filed by a partnership, it shall be signed in the name of the partnership by a general partner
duly authorized; if filed by an unincorporated organization or association which is not a partnership, it shall be signed in the name
of such organization or association by the managing agent-i.e., a duly authorized person who directs or manages or who participates
in the directing or managing of its affairs; if filed by a corporation, it shall be signed in the name of the corporation by a principal
officer duly authorized.
4.
If Form SIP is being filed as an application for registration, all applicable items must be answered in full. If any item is not applicable,
indicate by “none” or “N/A” as appropriate.
5.
Under Sections 11A(b) and 17(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the Commission
is authorized to solicit the information required to be supplied by this form from applicants for registration as a securities information
processor and from registered securities information processors. Disclosure of the information specified on this form is mandatory
prior to processing of an application for registration as a securities information processor. The information will be used for the
principal purpose of determining whether the Commission should grant or deny registration to an applicant. Except in cases where
confidential treatment is requested by the applicant and granted by the Commission pursuant to the Freedom of Information Act and
the rules of the Commission thereunder, information supplied on this form will be included routinely in the public files of the
Commission and will be available for inspection by any interested person. A form which is not prepared and executed in compliance
with applicable requirements may be returned as not acceptable for filing. Acceptance of this form, however, shall not constitute any
finding that it has been filed as required or that the information submitted is true, current or complete. Intentional misstatements or
omissions of fact constitute Federal criminal violations, (See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)).
6.
Rule 11 Ab2-1(b) requires that if any information contained in items 1 through 13 or item 21 of this application, or any supplement
or amendment thereto, is or becomes inaccurate for any reason, an amendment must be filed promptly on Form SIP correcting such
information.
For the purposes of this form, the term “applicant” shall include any applicant for registration as a securities information processor
7.
or any registered securities information processor that is amending Form SIP.
8.
Registrants filing Form SIP as an amendment (other than an annual amendment) need file only the facing page, the signature page
(item 11), and any pages on which an answer is being amended, together with such exhibits as are being amended. The submission
of an amendment represents that all unamended items and exhibits remain true, current and complete as previously filed.
DEFINITIONS: Unless the context requires otherwise, all terms used in the form have the same meaning as in the Securities Exchange Act
of 1934, as amended, and in the General Rules and Regulations of the Commission thereunder.
SEC 1939 (9-02)
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form 15/a - Certification And Notice Of Termination Of Registration Under Section 12(g) Of The Securities Exchange Act Of 1934 Or Suspension Of Duty To File Reports Under Sections 13 And 15(d) Of The Securities Exchange Act Of 1934
Legal
Form Ta-1 - Uniform Form For Registration As A Transfer Agent And For Amendment To Registration Pursuant To Section 17a Of The Securities Exchange Act Of 1934
Legal
Form 10-k - Annual / Transition Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act Of 1934
Legal
Form 10-k - Annual Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act Of 1934
Legal
Related Categories
Parent category: Business