OMB control number
Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200
OMB 3235-0195 · SEC.
OMB 3235-0195
Rule 17Ab2-1 and Form CA-1 require clearing agencies to register with the Commission and to meet certain requirements with regard to, among other things, a clearing agency's organization, capacities, and rules. The information is collected from the clearing agency upon the initial application for registration on Form CA-1. Thereafter, information is collected by amendment to the initial Form CA-1 when material changes in circumstances necessitate modification of the information previously provided to the Commission.
The latest form for Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200 expires 2026-10-31 and is listed under ICR 202305-3235-024.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form SEC 1853 Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200 | Form and Instruction |
| Supporting Statement Form CA-1 PTE Proposed Rulemaking.pdf | Supporting Statement A |
 Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200 |
Form and Instruction |