Section 17a Of The Securities Exchange Act Of 1934

Subpart a rules and regulations under the securities exchange act of 1934 240 0 1 240 12a 9 240 12a 10 exemption of security based swaps from section 12 a of the act.

Section 17a of the securities exchange act of 1934. 17a securities exchange act of 1934 272. General rules and regulations securities exchange act of 1934. Securities and exchange commission.

G if a person who has been subject to 240 17a 3 ceases to transact a business in securities directly with others than members of a national securities exchange or ceases to transact a business in securities through the medium of a member of a national securities exchange or ceases to be registered pursuant to section 15 of the act 15 u s c. 78 o such person must for the remainder of the periods of time specified in this section continue to preserve the records which it theretofore. Preservation of records and reports of certain stabilizing activities.

A an application for registration pursuant to section 17a c of the act of a transfer agent for which the commission is the appropriate regulatory agency as defined in section 3 a 34 b of the act shall be filed with the commission on form ta 1 in accordance with the instructions contained therein and shall become effective on the thirtieth day following the date on which the application is filed unless the commission takes affirmative action to accelerate deny or postpone such. Form crs for preparation filing and delivery of form crs. Securities and exchange commission.

General rules and regulations securities exchange act of 1934. C new data processing and communications techniques create the opportunity for more efficient effective and safe procedures for clearance and settlement. Commodity and securities exchanges.