Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) {SIP} | Pdf Fpdf Doc Docx | Official Federal Forms

 Official Federal Forms /  Securities And Exchange Commission /
Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) {SIP} | Pdf Fpdf Doc Docx | Official Federal Forms

Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) {SIP}

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

Alternate TextLast updated: 4/13/2015

Included Formats to Download
$ 21.99

Description

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL Not subject to OMB Clearance (44 U.S.C 3501, et. seq.) FORM SIP APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION AS SECURITIES INFORMATION PROCESSOR UNDER THE SECURITIES EXCHANGE ACT OF 1934 GENERAL INSTRUCTIONS FOR PREPARING AND FILING FORM SIP 1. Four copies of Form SIP and Exhibits thereto are to be filed with the Securities and Exchange Commission by applicants for registration as a securities information processor, or by registered securities information processors amending such registration, pursuant to Section 11A of the Securities Exchange Act of 1934 and the rules and regulations thereunder. Applicants may prepare their own form but must follow the format prescribed herein. Upon the filing of an application for registration, the Commission will publish notice of the filing and afford interested persons an opportunity to submit written data, views and arguments concerning such application. No application for registration shall be effective unless the Commission, by order, grants such registration. Individuals' names, except the executing signature in Item 11, shall be given in full (last name, first name, middle name). Signatures on all copies of the Form filed with the Commission shall be executed manually. If the Form is filed by a sole proprietor, it shall be signed by such proprietor; if filed by a partnership, it shall be signed in the name of the partnership by a general partner duly authorized; if filed by an unincorporated organization or association which is not a partnership, it shall be signed in the name of such organization or association by the managing agent-i.e., a duly authorized person who directs or manages or who participates in the directing or managing of its affairs; if filed by a corporation, it shall be signed in the name of the corporation by a principal officer duly authorized. If Form SIP is being filed as an application for registration, all applicable items must be answered in full. If any item is not applicable, indicate by "none" or "N/A" as appropriate. Under Sections 11A(b) and 17(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the Commission is authorized to solicit the information required to be supplied by this form from applicants for registration as a securities information processor and from registered securities information processors. Disclosure of the information specified on this form is mandatory prior to processing of an application for registration as a securities information processor. The information will be used for the principal purpose of determining whether the Commission should grant or deny registration to an applicant. Except in cases where confidential treatment is requested by the applicant and granted by the Commission pursuant to the Freedom of Information Act and the rules of the Commission thereunder, information supplied on this form will be included routinely in the public files of the Commission and will be available for inspection by any interested person. A form which is not prepared and executed in compliance with applicable requirements may be returned as not acceptable for filing. Acceptance of this form, however, shall not constitute any finding that it has been filed as required or that the information submitted is true, current or complete. Intentional misstatements or omissions of fact constitute Federal criminal violations, (See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)). Rule 11 Ab2-1(b) requires that if any information contained in items 1 through 13 or item 21 of this application, or any supplement or amendment thereto, is or becomes inaccurate for any reason, an amendment must be filed promptly on Form SIP correcting such information. For the purposes of this form, the term "applicant" shall include any applicant for registration as a securities information processor or any registered securities information processor that is amending Form SIP. Registrants filing Form SIP as an amendment (other than an annual amendment) need file only the facing page, the signature page (item 11), and any pages on which an answer is being amended, together with such exhibits as are being amended. The submission of an amendment represents that all unamended items and exhibits remain true, current and complete as previously filed. 2. 3. 4. 5. 6. 7. 8. DEFINITIONS: Unless the context requires otherwise, all terms used in the form have the same meaning as in the Securities Exchange Act of 1934, as amended, and in the General Rules and Regulations of the Commission thereunder. SEC 1939 (3-14) American LegalNet, Inc. www.FormsWorkFlow.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SIP OMB APPROVAL Not subject to OMB Clearance (44 U.S.C 3501, et. seq.) APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION AS SECURITIES INFORMATION PROCESSOR UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Exact name of applicant as specified in charter) (Address of principal executive offices) If this is an APPLICATION for registration, complete in full and check here . . . If this is an AMENDMENT to an application, or to an effective registration (other than an annual amendment) list all items that are amended and check here . . . If this is an ANNUAL AMENDMENT to an effective registration, list all items that are amended and check here . . . GENERAL INFORMATION 1. Name under which business is conducted, if different than name specified on facing sheet: 2. If name of business is hereby amended, state previous business name: 3. Mailing address, if different than address specified on facing sheet: (Number and Street) (City) (State) (Zip Code) 4. List of principal office(s) and address(es) where securities information processing activities are conducted: Office Address 5. If applicant is a successsor (within the definition of Rule 12b-2 under the Securities Exchange Act) to a previously registered securities information processor, please complete the following: a. Date of succession b. Full name and address of predecessor registrant (Name) (Number and Street) (City) SEC 1939 (3-14) (State) 2 (Zip Code) American LegalNet, Inc. www.FormsWorkFlow.com 6. List all securities markets for which the applicant is acting or for which it proposes to act as an exclusive securities information processor. For each such market, furnish a description of the function(s) as set forth in Section 3(a)

Our Products