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CFR › Title 17 › Chapter II › Part 242 › Section 242.609

17 CFR 242.609 - Registration of securities information processors: form of application and amendments.

There is 1 rule appearing in the Federal Register for 17 CFR 242. Select the tab below to view, or View eCFR (GPOAccess)
§ 242.609 Registration of securities information processors: form of application and amendments.
(a) An application for the registration of a securities information processor shall be filed on Form SIP (§ 249.1001 of this chapter) in accordance with the instructions contained therein.
(b) If any information reported in items 1-13 or item 21 of Form SIP or in any amendment thereto is or becomes inaccurate for any reason, whether before or after the registration has been granted, the securities information processor shall promptly file an amendment on Form SIP correcting such information.
(c) The Commission, upon its own motion or upon application by any securities information processor, may conditionally or unconditionally exempt any securities information processor from any provision of the rules or regulations adopted under section 11A(b) of the Act (15 U.S.C. 78k-1(b)).
(d) Every amendment filed pursuant to this section shall constitute a “report” within the meaning of sections 17(a), 18(a) and 32(a) of the Act (15 U.S.C. 78q(a), 78r(a), and 78ff(a)).

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-08-01; vol. 77 # 148 - Wednesday, August 1, 2012
    1. 77 FR 45722 - Consolidated Audit Trail
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: October 1, 2012.
      17 CFR Part 242

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 15 - COMMERCE AND TRADE

§ 77g - Information required in registration statement

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 78b - Necessity for regulation

§ 78c - Definitions and application

§ 78g - Margin requirements

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 USC § 78k–1 - National market system for securities; securities information processors

15 USC § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S.C. § -

§ 78q - Records and reports

§ 78w - Rules, regulations, and orders; annual reports

15 USC § 78dd–1 - Prohibited foreign trade practices by issuers

§ 78mm - General exemptive authority

15 USC § 80a–23 - Closed-end companies

15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 USC § 80a–37 - Rules, regulations, and orders

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 242 after this date.

  • 2013-03-25; vol. 78 # 57 - Monday, March 25, 2013
    1. 78 FR 18084 - Regulation Systems Compliance and Integrity
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule and form; proposed rule amendment.
      Comments should be submitted on or before May 24, 2013.
      17 CFR Parts 242 and 249