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Regulations last checked for updates: Apr 30, 2025
Title 17 - Commodity and Securities Exchanges last revised: Apr 22, 2025
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Title 17
Chapter II
Part 249b - PART 249b—FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934
§§ 249b.1-249b.99 - §[Reserved]
§ 249b.100 - Form TA-1, 1 uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.101 - Form TA-W, notice of withdrawal from registration as transfer agent.
§ 249b.102 - Form TA-2, 1 form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
§ 249b.200 - Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.300 - FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and of this chapter.
§ 249b.400 - Form SD, specialized disclosure report.
authority:
15 U.S.C. 78a
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