Subpart K — Form for Registration of, and Reporting by Securities Information Processors
249.1001 — Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
This form shall be used for application for registration as a securities information processor, pursuant to section 11A(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78k-1(b)) and § 242.609 of this chapter, or to amend such an application or registration.
[70 FR 37632, June 29, 2005]
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Editorial Note:
For Federal Register citations affecting Form SIP, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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249.1002 — Form CC, for application for registration as a competing consolidator or to amend such an application or registration.
This form shall be used for application for registration as a competing consolidator,
pursuant to section 11A of the Securities Exchange Act of 1934 (15 U.S.C. 78k-1) and
§ 242.614 of this chapter, or to amend such an application or registration.
[86 FR 18596, Apr. 9, 2021]