Form Id - Uniform Application For Access Codes To File On Edgar Form Page 5
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“Security-Based Swap Execution Facility”—Any person that is a “security-based swap execution facility” as
defined in Section 3(a)(77) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(77)).
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“Training Agent”—Any person that will be sending only test filings in conjunction with training other persons.
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“Transfer Agent”—Any person planning to register as a Transfer Agent as defined in Section 3(a)(25) of the
Securities Exchange Act of 1934, as amended, on whose behalf an electronic filing is made. (See 15 U.S.C.
78c(a)(25)).
PART II—FILER INFORMATION (To be completed only by filers that are not individuals)
The filer’s tax or federal identification number is the number issued by the Internal Revenue Service. This section
does not apply to individuals. Accordingly, do not enter a Social Security number. If an investment company filer
is organized as a series company, the investment company may use the tax or federal identification number of any
one of its constituent series. Issuers that have applied for but not yet received their tax or federal identification
number and foreign issuers that do not have a tax or federal identification number must include all zeroes. A “foreign
issuer” is an entity so defined by Securities Act of 1933 (15 U.S.C. 77a et seq.) Rule 405 (17 CFR 230.405) and the
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) Rule 3b-4(b) (17 CFR 240.3b-4(b)). Foreign issuers should
include their country of organization.
A foreign issuer filer must provide its “doing business as” name in the language of the name under which it does
business and must provide its foreign language name, if any, in the space so marked.
If the filer’s fiscal year does not end on the same date each year (e.g., falls on the last Saturday in December), the
filer must enter the date the current fiscal year will end.
PART III—CONTACT INFORMATION (To be completed by all applicants)
In this section, identify the individual who should receive the access codes and other EDGAR-related information.
Please include an e-mail address that will become your default notification address for EDGAR filings; it will be
stored in the Company Contact Information on the EDGAR Database. EDGAR will send all subsequent filing
notifications automatically to that address. You can have one e-mail address in the EDGAR Company Contact
Information. For information on including additional e-mail addresses on a per filing basis, refer to Volume 1,
Section 3.2.2 of the EDGAR Filer Manual.
PART IV—ACCOUNT INFORMATION (To be completed by filers and filing agents only)
Identify in this section the individual who should receive account information and/or billing invoices from us. We
will use this information to process electronically fee payments and billings. If the address changes, update it via the
.
EDGAR filing website, or your account statements may be returned to us as undeliverable
PART V—SIGNATURE (To be completed by all applicants)
If the applicant is a corporation, partnership, trust or other entity, state the capacity in which the representative
individual, who must be duly authorized, signs the Form on behalf of the applicant.
If the applicant is an individual, the applicant must sign the Form.
If another person signs on behalf of the representative individual or the individual applicant, confirm the authority
of the other person to sign in writing in an electronic attachment to the Form. The confirming statement need only
indicate that the representative individual or individual applicant authorizes and designates the named person or
persons to file the Form on behalf of the applicant and state the duration of the authorization.
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