Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 Page 3
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66. List all securities markets for which the applicant is acting or for which it proposes to act as an exclusive securities information
processor. For each such market, furnish a description of the function(s) as set forth in Section 3(a)(22) of the Act that the applicant
performs or proposes to perform. For each such market, provide a list of all securities for which information with respect to quotations
for, or transactions in, is or is proposed to be collected, processed, distributed or published. Note: Securities may be described by group
or groups if each such group is readily identifiable or a reference to a complete list of individual securities within the group is provided,
(e.g., all securities listed on the ___________ Stock Exchange). In addition, provide a list of all other securities information processing
functions that are performed on a non-exclusive basis.
BUSINESS ORGANIZATION
7. Applicant is a:
Corporation
Partnership
Sole Proprietorship
Other form of Organization (Specify)
8. If applicant is a corporation:
a. Date of incorporation
b. State of incorporation
9. If applicant is a partnership:
a. Date of filing of partnership articles
b. State in which filed
10. Applicant agrees and consents that the notice of any proceeding before the Commission in connection with its application for
registration as a securities information processor may be given by sending such notice by certified mail or confirmed telegram to the
officer specified or person named below at the address given.
(Name of person or, if applicant is a corporation, title of officer)
(Name of applicant (if applicant is other than a sole proprietor))
(Number and Street)
(City)
(State)
(Zip Code)
(Area Code)
(Telephone Number)
11. SIGNATURES: The Applicant has duly caused this application or amendment to be signed on its behalf by the undersigned, hereunto
duly authorized, this ___________ day of ____________________________, ______. The Applicant and the undersigned represent
hereby that all information contained herein is true, current and complete. It is understood that all required items and Exhibits are
considered integral parts of this form and that the submission of any amendment represents that all unamended items and Exhibits
remain true, current and complete as previously filed.
(Name of Applicant)
(Manual signature of Sole Proprietor, General Partner, Managing Agent or Principal Officer)
(Title)
EXHIBITS — BUSINESS ORGANIZATION
12. List as Exhibit A any person as defined in Section 3(a)(9) (see also Section 3(a)(19) of the Act) who owns 10 percent or more of
applicant’s stock or who, either directly or indirectly, through agreement or otherwise, in any other manner, may control or direct the
management or policies of applicant.
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