Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200

OMB 3235-0195

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 2023-11-30 and can be found here.

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