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Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 242 — Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures · § 242.609

§ 242.609. Registration of securities information processors: form of application and amendments.

151 words·~1 min read·/us/cfr/t17/s§ 242.609·

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(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)).
Connections19 cite this · traces to 2
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§ 242.609
Registration of securities information processors: form of application and amendments.
Fed. Reg.×18
C.F.R.×1
U.S.C.§ 78k–1
U.S.C.§ 78q
Cites 2Cited by 19 across 2 sources
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