Form SBSE-W Request For Withdrawal From Registration-Swap Dealer (SEC2928) {SBSE-W} | Pdf Fpdf Docx | Official Federal Forms

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Form SBSE-W Request For Withdrawal From Registration-Swap Dealer (SEC2928) {SBSE-W} | Pdf Fpdf Docx | Official Federal Forms

Form SBSE-W Request For Withdrawal From Registration-Swap Dealer (SEC2928) {SBSE-W}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

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American LegalNet, Inc. www.FormsWorkFlow.com FORM SBSE-W INSTRUCTIONS 002A. GENERAL INSTRUCTIONS 1. 003Security-based swap dealers and major security-based swap participants (collectively 223SBS Entities224) must file Form SBSE-W to withdraw their registration from the Securities and Exchange Commission (223SEC224). 2. 003All questions must be answered and all fields requiring a response must be complete before the filing is accepted. 3. 003The registrant must file Form SBSE-W through the EDGAR system, and must utilize the EDGAR Filer Manual (as defined in 17 CFR 232. 11) to file and amend Form SBSE-W electronically to assure the timely acceptance and processing of those filings. Prior to filing Form SBSE-W, amend Form SBSE, Form SBSE-A, or Form SBSE-BD, as applicable, in accordance with Rule 15Fb2-3 [17 CFR 240.15Fb2-3], to update any incomplete or inaccurate information. 4. 003A paper copy of this Form SBSE-W with the original manual signature(s) must be retained by the security-based swap dealer or major security-based swap participant filing the Form SBSE-W and be made available for inspection upon a regulatory request. A paper copy of the initial Form SBSE, Form SBSE-A, or Form SBSE-BD filing, as appropriate, and amendments to any Disclosure Reporting Pages (DRPs) also must be retained by the security-based swap dealer and major security-based swap participant filing the Form SBSE-W. The mailing address for questions and correspondence is: The Securities and Exchange Commission002 Washington, DC 20549002 EXPLANATION OF TERMS002 (The following terms are italicized throughout this form.)002 The term INVESTIGATION includes: (a) grand jury investigations, (b) U.S. Securities and Exchange Commission investigations after the 223Wells224 notice has been given, (c) formal investigations by a self-regulatory organization or, (d) actions or procedures designated as investigations by jurisdictions. The term investigation does not include subpoenas, preliminary or routine regulatory inquiries or requests for information, deficiency letters, 223blue sheet224 requests or other trading questionnaires, or examinations. The term INVESTMENT-RELATED pertains to securities, commodities, banking, savings association activities, credit union activities, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, municipal securities dealer, government securities broker or dealer, issuer, investment company, investment adviser, futures sponsor, bank, savings association, credit union, insurance company, or insurance agency). FEDERAL INFORMATION LAW AND REQUIREMENTS 226 SEC222s Colllection of Information An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Sections 15F, 17(a) and 23(a) of the Exchange Act authorize the SEC to collect the information on this form from registrants. See 15 U.S.C. 247247 78o-10, 78q and 78w. Filing of this Form is mandatory. The principal purpose of this Form is to permit the Commission to determine whether it is necessary or appropriate in the public interest or for the protection of investors to permit the security-based swap dealer or major security-based swap participant to withdraw its registration. The Commission maintains a file of the information on this Form and will make the information publicly available. Any member of the public may direct to the Commission any comments concerning the accuracy of the burden estimate on this Form, and any suggestions for reducing this burden. This collection of information has been reviewed by the Office of Management and Budget in accordance with the clearance requirements of 44 U.S.C. 2473507. The information contained in this form is part of a system of records subject to the Privacy Act of 1974, as amended. The Securities and Exchange Commission has published in the Federal Register the Privacy Act Systems of Records Notice for these records. American LegalNet, Inc. www.FormsWorkFlow.com FORM SBSE-W Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant Official Use INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) NOTE: Prior to filing a notice of withdrawal from registration on Form SBSE-W, an entity must update any incomplete or inaccurate information contained on Form SBSE, Form SBSE-A, or Form SBSE-BD, as appropriate [17 CFR 15Fb3-2(a)]. 1. A. Full name of Security-based Swap Dealer or Major Security-based Swap Participant: B. IRS Emp. Ident. No.: C. Name under which business is conducted, if different: D. Firm SEC, NFA, and/or CRD No.: E. Firm main address: Number and Street City State/Country Zip+4/Postal Code F. Mailing address, if different: Number and Street City G. Area Code / Telephone No.: 2. Withdrawing from Registration as a: [ ] Security-based Swap Dealer [ ] Major Security-based Swap Participant 3. Date firm ceased business: MM DD YY / / 4. Reason security-based swap dealer or major security-based swap participant is seeking to withdraw from SEC registration: [ ] Winding down all business [ ] No longer doing security-based swap business in U.S. [ ] Have effected less security-based swap business for previous four quarters and no longer fit definition of major security-based swap participant [ ] Ceasing business as a security-based swap dealer [ ] Ceasing business as a major security-based swap participant [ ] Other (describe): 5. Yes No Does the security-based swap dealer or major security-based swap participant hold any segregated counterparty collateral? [ ] [ ] A. Number of counterparties whose collateral is held: B. Amount of money held as collateral: $ C. Market value of securities held as collateral: $ D. Describe arrangements made for return of collateral: 6. Is the security-based swap dealer or major security-based swap participant currently the subject of or named in any investment-related: yes no -investigation [ ] [ ] -customer-initiated complaint [ ] [ ] -private civil litigation [ ] [ ] 7. Name and Address of the Person who will have Custody of Books and Records: Area Code / Telephone No.: Address where the Books and Records will be Located, if Different: Number and Street City State/Country ZIP + 4/Postal Code EXECUTION: The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, the security-based swap dealer or security-based swap participant, and that all information herein, including any attachments hereto, is accurate, complete, and current. The undersigned and security-based swap dealer or major security-based swap participant further certify that all the information previously submitted on Form SBSE, Form SBSE-A, or Form SBSE-BD, as appropriate, is accurate and complete as of this date, and that the security-based swap dealer222s or major security-based swap participant222s books and records will be preserved and available for inspection as required by law. Date (MM/DD/YYYY) Name By: Signature Print Name and Title American LegalNet, Inc. www.FormsWorkFlow.com

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