17 C.F.R. Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
Title 17 - Commodity and Securities Exchanges
This form shall be filed as an application for registration as a national securities association or as an affiliated securites association pursuant to Rule 15Aa–1 (§240.15Aa–1 of this chapter). [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be filed pursuant to Rule 15Aj–1 (§240.15Aj–1 of this chapter) as amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association. [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be filed pursuant to Rule 15Aj–1 (§240.15Aj–1 of this chapter) for the annual consolidated supplement to registration statement of a national securities association or an affiliated securities association. [33 FR 18995, Dec. 20, 1968] Editorial Note: For This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(26)), to file electronically proposed rule changes with the Commission pursuant to section 19(b) of the Act and §240.19b–4 of this chapter. [69 FR 60301, Oct. 8, 2004] Editorial Note: Copies of Form 19b–4 have been filed with the Office of the Federal Register and will be forwarded to the self-regulatory organizations. Copies may be requested from the Commission. This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of the Act, to notify the Commission of a self-regulatory organization's listing and trading of a new derivative securities product that is not deemed a proposed rule change, pursuant to Rule 19b–4(e) under the Act (17 CFR 240.19b–4(e)). [63 FR 70967, Dec. 22, 1998] Editorial Note: For This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of the Act, (15 U.S.C 78c(a)(26)), to file required information and reports with regard to pilot trading systems pursuant to §240.19b–5 of this chapter. [63 FR 70946, Dec. 22, 1998] Editorial Note: For This form shall be used by all self-regulatory organizations, as defined in Section 3(a)(26) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(26)), to file proposed rule 77 changes with the Commission pursuant to Section 19(b)(7) of that Act (15 U.S.C. 78s(b)(7)) and Rule 19b–7 (17 CFR 240.19b–7) thereunder. [66 FR 43743, Aug. 20, 2001]
Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
§ 249.801 Form X–15AA–1, for application for registration as a national securities association or affiliated securities association.
§ 249.802 Form X–15AJ–1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
§ 249.803 Form X–15AJ–2, for annual consolidated supplement of a national securities association or an affiliated securities association.
§ 249.819 Form 19b–4, for electronic filing with respect to proposed rule changes by all self-regulatory organizations.
§ 249.820 Form 19b–4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b–4(e)(§240.19b–4(e)).
§ 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to §240.19b–5 of this chapter.
§ 249.822 Form 19b–7, for filings with respect to proposed rule changes by all self-regulatory organizations, pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
