This form is used by an entity to apply for registration as a clearing agency with the SEC, or to amend such registration. Filings are available on microfiche. For as long as the entity is registered plus fifty years. This form is used to apply for registration as a transfer agent or to amend such registration. It provides information on the company's activities and operation.
Filings are available on microfiche.
No paper copy is maintained. For as long as the broker or dealer is registered plus fifty years. This form is used to withdraw from registration as a transfer agent. Files are available on microfiche. No paper copy is maintained.