Federal (United States) · Regulations
Part 249b — FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
5 sections
5 sections
- 17 C.F.R. § 249b.101Form TA-W, notice of withdrawal from registration as transfer agent.
- 17 C.F.R. § 249b.102Form 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.
- 17 C.F.R. § 249b.200Form 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.
- 17 C.F.R. § 249b.300FORM 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.
- 17 C.F.R. § 249b.400Form SD, specialized disclosure report.