SEC Form 1414 (X-17A-19) Information Required of National Securities Exchanges and Registered National Securities Associations Pursuant to Sections 17 and 19 of the Securities Exchange Act of 1934 and Rule 17a-19 Thereunder Report of Change in Membership Status
What Is SEC Form 1414 (X-17A-19)?
This is a legal form that was released by the U.S. Securities and Exchange Commission on July 1, 2001 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 1414?
A: SEC Form 1414 is a report required of national securities exchanges and registered national securities associations.
Q: What is the purpose of SEC Form 1414?
A: The purpose of SEC Form 1414 is to provide information on changes in membership status of national securities exchanges and registered national securities associations.
Q: Which acts and rules require the filing of SEC Form 1414?
A: SEC Form 1414 is required to be filed pursuant to Sections 17 and 19 of the Securities Exchange Act of 1934 and Rule 17a-19 thereunder.
Q: Who is required to file SEC Form 1414?
A: National securities exchanges and registered national securities associations are required to file SEC Form 1414.
Q: What information is required in SEC Form 1414?
A: SEC Form 1414 requires information regarding changes in membership status.
Q: When should SEC Form 1414 be filed?
A: SEC Form 1414 should be filed within a specified time frame after a change in membership status occurs.
Q: What is the consequence of not filing SEC Form 1414?
A: Failure to file SEC Form 1414 can result in penalties or other regulatory actions.
Form Details:
- Released on July 1, 2001;
- 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 1414 (X-17A-19) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.
Download SEC Form 1414 (X-17A-19) Information Required of National Securities Exchanges and Registered National Securities Associations Pursuant to Sections 17 and 19 of the Securities Exchange Act of 1934 and Rule 17a-19 Thereunder Report of Change in Membership Status
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