17 CFR Part 249b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
- §§ 249b.1-249b.99 [Reserved]
- § 249b.100 Form TA-1, 1/> uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
- § 249b.101 Form TA-W, notice of withdrawal from registration as transfer agent.
- § 249b.102 Form TA-2, 1/> form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
- § 249b.200 Form CA-1, 1/> form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
- § 249b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and § 240.17g-1 of this chapter.
- § 249b.400 Form SD, specialized disclosure report.
Authority:
15 U.S.C. 78a et seq., unless otherwise noted;
Sections 249b.100 and 249b.102 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q-1, 78w(a)).
Section 249b.400 is also issued under secs. 1502 and 1504, Pub. L. 111-203, 124 Stat. 2213 and 2220.
The following state regulations pages link to this page.