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SEC Form 1853 (CA-1) Application for Registration or for Exemption From Registration as a Clearing Agency and for Amendment to Registration Pursuant to the Securities Exchange Act of 1934 ("the Act")
What Is SEC Form 1853 (CA-1)?
This is a legal form that was released by the U.S. Securities and Exchange Commission on February 1, 2009 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.
FAQ
Q: What is SEC Form 1853 (CA-1)?
A: SEC Form 1853 (CA-1) is an application for registration or exemption from registration as a clearing agency and for amendment to registration pursuant to the Securities Exchange Act of 1934.
Q: What is the purpose of SEC Form 1853 (CA-1)?
A: The purpose of SEC Form 1853 (CA-1) is to apply for registration as a clearing agency or to seek an exemption from registration under the Securities Exchange Act of 1934.
Q: Who must file SEC Form 1853 (CA-1)?
A: Clearing agencies must file SEC Form 1853 (CA-1) to register or seek exemption from registration.
Q: What is the Securities Exchange Act of 1934?
A: The Securities Exchange Act of 1934 is a federal law that regulates the trading of securities in the United States.
Q: What is a clearing agency?
A: A clearing agency is an organization that facilitates the settlement of securities transactions by ascertaining the rights and obligations of the parties involved, and ensuring the transfer of ownership is properly recorded.
Q: What are the requirements for registration as a clearing agency?
A: The requirements for registration as a clearing agency include submitting SEC Form 1853 (CA-1), disclosing detailed information about the clearing agency's operations, financial condition, and compliance with applicable laws.
Q: How can a clearing agency apply for exemption from registration?
A: A clearing agency can apply for exemption from registration by submitting SEC Form 1853 (CA-1) along with supporting documentation and justification for the exemption.
Q: Is legal counsel required to complete SEC Form 1853 (CA-1)?
A: While legal counsel is not explicitly required to complete SEC Form 1853 (CA-1), it is recommended to seek professional advice to ensure compliance with applicable laws and regulations.
Form Details:
- Released on February 1, 2009;
- The latest available edition released by the U.S. Securities and Exchange Commission;
- Easy to use and ready to print;
- Yours to fill out and keep for your records;
- Compatible with most PDF-viewing applications;
- Fill out the form in our online filing application.
Download a fillable version of SEC Form 1853 (CA-1) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.
Download SEC Form 1853 (CA-1) Application for Registration or for Exemption From Registration as a Clearing Agency and for Amendment to Registration Pursuant to the Securities Exchange Act of 1934 ("the Act")
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