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This document outlines the exemptions granted to OCC-regulated transfer agents from certain provisions of the Securities Exchange Act of 1934 due to the impacts of Hurricane Katrina.
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How to fill out order under section 17a
How to fill out ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS
01
Begin by obtaining the ORDER UNDER SECTION 17A form from the appropriate regulatory authority or their website.
02
Fill in the basic information at the top of the form, including the name of the national bank and the date of submission.
03
In the section regarding exemptions, clearly specify which provisions and rules you are seeking exemptions from.
04
Provide a detailed explanation justifying the need for the exemption, including any relevant facts or circumstances.
05
Include any supporting documents that may strengthen your case for requesting the exemption.
06
Review the completed form for accuracy and completeness before submitting it.
07
Submit the form to the designated regulatory authority, following any specified submission guidelines.
08
Keep a copy of the submitted order for your records and any future reference.
Who needs ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
01
National banks that wish to seek exemptions from specific provisions of the Securities Exchange Act of 1934 due to unique operational needs.
02
Banks involved in non-traditional securities activities that may necessitate differing regulatory treatment.
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People Also Ask about
What is Section 17a of the Securities Exchange Act?
17 A. (1) Without prejudice to the provisions contained in this Act or any other law for the time being in force, no securities of the nature referred to in sub-clause (ie) of clause (h) of section 2 shall be offered to the public or listed on any recognised stock .
What is Section 17a of the Securities Exchange Act of 1934?
Section 17(a)(1) of the Securities Exchange Act of 1934 ("Exchange Act") requires registered broker-dealers to make, keep, furnish and disseminate records and reports prescribed by the Securities and Exchange Commission ("SEC").
What is Rule 17Ad 17 under the Securities Exchange Act of 1934?
Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Advisers Act are required to deliver to retail investors a relationship summary
What is Rule 17a 14 under the Securities Exchange Act of 1934?
Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Advisers Act are required to deliver to retail investors a relationship summary
What is an order granting confidential treatment under the Securities Exchange Act of 1934?
A confidential treatment order (CTO) is issued by the Securities and Exchange Commission (SEC) and allows a company to omit or withhold information that would originally be disclosed in SEC filings. The SEC issues CTOs in response to a company's request to withhold info, known as a confidential treatment request (CTR).
What is Section 17a of the securities Contract Regulation Act?
Rule 17Ad-17(b)(2) defines a “lost securityholder” to mean “a securityholder: (i) To whom an item of correspondence that was sent to the securityholder at the address contained in the transfer agent's master securityholder file has been returned as undeliverable; provided, however, that if such item is re-sent within
What is Rule 17Ad 17 under the Securities Exchange Act of 1934?
Rule 17Ad-17(b)(2) defines a “lost securityholder” to mean “a securityholder: (i) To whom an item of correspondence that was sent to the securityholder at the address contained in the transfer agent's master securityholder file has been returned as undeliverable; provided, however, that if such item is re-sent within
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What is ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
The ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 grants specific exemptions to national banks from certain provisions of the Act and certain rules established under it, recognizing their unique operational characteristics and regulatory framework.
Who is required to file ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
National banks seeking exemptions from certain provisions and rules of the Securities Exchange Act of 1934 are required to file the order.
How to fill out ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
To fill out the order, a national bank must provide relevant details such as the specific exemptions requested, the rationale for the exemption, and any necessary financial disclosures as required by the regulatory authorities.
What is the purpose of ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
The purpose of the order is to provide regulatory relief to national banks by exempting them from certain overly burdensome provisions and rules, thereby enabling them to operate more effectively within the framework of the SEC regulations.
What information must be reported on ORDER UNDER SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE ACT AND CERTAIN RULES THEREUNDER FOR NATIONAL BANKS?
Relevant information includes the name of the national bank, the specific provisions and rules from which exemptions are sought, the reasons for requesting these exemptions, and supporting documentation that demonstrates compliance with the necessary regulatory criteria.
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