Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 Page 6

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

such exclusive functions and such other uses, and state the methods used or able to be used to divert capacity between such
exclusive functions and such other uses.
EXHIBITS — ACCESS TO SERVICES
28. Attach as Exhibit Q the following:
a. As to each securities information processing service for which the applicant is the exclusive securities information processor, state
the number of persons who presently subscribe, or who have notified the applicant of their intention to subscribe, to such service.
b. For each instance during the past year in which any person has been prohibited or limited in respect of access to services offered
by the applicant as an exclusive processor, indicate the name of each such person and the reason for the prohibition or limitation.
c. For each of such services that involves the supply of information to a quotation board, ticker device, electronic information
terminal,or other such device, state the total number of devices to which information is, or will be supplied (“serviced”) and any
minimum and/or maximum number of devices required or permitted by agreement or otherwise to be serviced by the applicant.
In addition, define the data elements for each service.
d. For each of such services furnished in machine-readable form, state the storage media in which furnished and define the data
elements of each service so furnished.
29. Attach as Exhibit R copies of all contracts governing the terms by which persons may subscribe to securities information processing
services provided by the applicant on an exclusive basis. To the extent that form contracts are used by the applicant, submit a sample
of each type of form contract used.
30. Attach as Exhibit S a description of any specifications, qualifications or other criteria that limit, are interpreted to limit, or have the
effect of limiting access to or use of any exclusive securities information processing services furnished by the applicant and state the
reasons for imposing such specifications, qualifications, or other criteria, including whether such specifications, qualifications or other
criteria are imposed at the direction of a national securities exchange or registered securities association.
31. Attach as Exhibit T any specifications, qualifications, or other criteria required of participants who supply securities information to
the applicant for collection, processing, preparing for distribution, or publication by the applicant on an exclusive basis and state
whether such specifications or qualifications are imposed at the direction of a national securities exchange or registered securities
association.
6

ADVERTISEMENT

00 votes

Related Articles

Top 20 Happy Easter Cards And Gift Tags To Download For Free
Top Ten Easter Arts And Crafts Activities For Your Kids
Free Easter Coloring Pages And Easter Printables For Your Kids

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 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 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
Sec Form 8-k (pursuant To Section 13 Or 15(d) Of The Securities Exchange Act Of 1934) Sec Form 8-k (pursuant To Section 13 Or 15(d) 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 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 Form 10-k - Annual Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act Of 1934 Legal
Form Abs-15g Asset-backed Securitizer Report Pursuant To Section 15g Of The Securities Exchange Act Of 1934 - Washington Form Abs-15g Asset-backed Securitizer Report Pursuant To Section 15g Of The Securities Exchange Act Of 1934 - Washington Legal
Form 8a - Application For Registration As A Visiting Student Form 8a - Application For Registration As A Visiting Student Legal
Form 46158 - Application For Registration As An Environmental Health Specialist Form 46158 - Application For Registration As An Environmental Health Specialist Legal
Form 4374 - Application For Registration As A Fleet Vehicle Owner Form 4374 - Application For Registration As A Fleet Vehicle Owner Financial
State Form 2557 - Application For Registration As An Apprentice Plumber State Form 2557 - Application For Registration As An Apprentice Plumber Legal

Related Categories

Parent category: Business
Download
Go
Page of 6