SUBPART - Subpart K—Form for Registration of, and Reporting by Securities Information Processors

Collapse to view only § 249.1002 - Form CC, for application for registration as a competing consolidator or to amend such an application or registration.

§ 249.1001 - Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
§ 249.1002 - Form CC, for application for registration as a competing consolidator or to amend such an application or registration.

§ 249.1001 - Form SIP, for application for registration as a securities information processor or to amend such an application or registration.

This form shall be used for application for registration as a securities information processor, pursuant to section 11A(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78k-1(b)) and § 242.609 of this chapter, or to amend such an application or registration.

[70 FR 37632, June 29, 2005] Editorial Note:For Federal Register citations affecting Form SIP, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 249.1002 - Form CC, for application for registration as a competing consolidator or to amend such an application or registration.

This form shall be used for application for registration as a competing consolidator, pursuant to section 11A of the Securities Exchange Act of 1934 (15 U.S.C. 78k-1) and § 242.614 of this chapter, or to amend such an application or registration.

[86 FR 18814, Apr. 9, 2021]