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Timestamp: 2019-09-16 22:38:51
Document Index: 95842507

Matched Legal Cases: ['art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', 'art 249', '§ 242']

SEC Apply SEC filter 117
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Part 249 -- Subpart E: Forms for Statements Made in Connection With Exempt Tender Offers
Part 249 -- Subpart F: Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
Part 249 -- Subpart G: Forms for Reports To Be Made by Certain Exchange Members, Brokers, and Dealers
Part 249 -- Subpart H: Forms For Reports as to Stabilization
Part 249 -- Subpart I: Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
Part 249 -- Subpart J: [Reserved]
Part 249 -- Subpart K: Form for Registration of, and Reporting by Securities Information Processors
Part 249 -- Subpart L: Forms for Registration of Municipal Securities Dealers
SEC Forms for Market Intermediaries ...
Part 249 -- Subpart M: Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
Part 249 -- Subpart N: Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
Part 249 -- Subpart O: Forms for Asset-Backed Securities
Part 249 -- Subpart P: Forms for Registration of Security-Based Swap Data Repositories
Part 249 -- Subpart Q: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Part 249 -- Subpart S: Whistleblower Forms
This rule is effective, but proposed to be rescinded and reserved. See 83 FR 34702. SEC ...
Part 249 -- Subpart T: Form SCI, for filing notices and reports as required by Regulation SCI.
SEC Regulation SCI ...
Part 249 -- Subpart U: Forms for Registration of Funding Portals
Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), ...
Part 249b: Further Forms, Securities Exchange Act of 1934
SEC Rule 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] ...