Further Forms, Securities Exchange Act of 1934

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  5. Further Forms, Securities Exchange Act of 1934

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Sections
249b.1-249b.99

§§ 249b.1-249b.99 [Reserved]

Section
249b.100

Form TA-1, uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.

Section
249b.101

Form TA-W, notice of withdrawal from registration as transfer agent.

Section
249b.102

Form TA-2, 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.

Section
249b.200

Form CA-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.

Section
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.

Section
249b.400

Form SD, specialized disclosure report.