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[47 FR 38106, Aug. 30, 1982, as amended at 81 FR 27297, May 6, 2016]. There is no mandatory retention period for the information disclosed and Form 8-A is not kept confidential. Registration Act Section 17A(c)(1) of the Act (15 U.S.C. UNITED STATES SECURITIES AND OMB Approval EXCHANGE Section 5 regulates the timeline and distribution process for issuers who offer securities for sale. During fiscal year 2001, OCC filed four Form 8-A registration statements and 214 Form 8-A amendments. Registration Act Documents related to the leasing of immovable property yearly or against yearly. We solicited comment to assist us in our evaluation of the costs and benefits associated with the amendments. Agency: Securities and Exchange Commission. The authority citation for Part 240 continues to read in part as follows: Authority: 15 U.S.C. This contact form is only for website help or website suggestions. WHEREAS it is expedient to consolidate the enactments relating to the registration of documents; It is hereby enacted as follows:- Part I PRELIMINARY Short title, extent and commencement 1. Securities Act Rule 238(c) [17 CFR 230.238(c)]. Title 12 was last amended 7/01/2023. 2. 781(g)(2)(B) and (G)) (securities of investment companies, including mutual funds, and certain insurance companies). Pub. Registration of contract for sale, etc. Registration Act WebThe Registration Act, 1908 ( ACT NO. We requested comment on any anti-competitive effects of the proposals. A2 is an agreement for sale of immovable property it will not come under S. 17(1)(b) of the Registration Act. 34-12283 (March 30, 1976) [41 FR 14454]) and the Midwest Stock Exchange (see Release No. Every registration or amendment filed under this section shall constitute a report or application within the meaning or sections 17, 17A(c), and 32(a) of the Act. Pub. 77a et seq. 9.7 Rationalisation of Registration Charges under the Registration Act. The registration of documents seeks to perpetuate documents that prove to be of legal importance. Registration Rule 9b-1 requires an options market, defined in Rule 9b-1(a)(1) as a national securities exchange, an automated quotation system of a registered securities association or a foreign securities exchange on which standardized options are traded, to file the ODD with the Commission at least 60 days before the date that definitive copies are furnished to customers, or at least 30 days before that date with respect to an amended ODD if the information contained in the ODD becomes or will become materially inaccurate or incomplete or there is or will be an omission of material information necessary to make the ODD not misleading. The Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government. Indian Registration Act, 1908 Section - 17 Documents of which Registration Is Compulsory The following documents shall be registered, if the property to which they relate is situate in a district in which, and if they have been executed on or after the date on which, Act No. Choosing an item from Peter Joseph Polinski Trust - SEC.gov 34-13045 (December 8, 1976) [41 FR 54783]) also later began to list standardized options. We are retaining Form S-20 for use by an issuer of standardized options that is not a clearing agency registered under Section 17A of the Exchange Act, such as a foreign clearing agency,49 or for use by issuers of standardized options that do not trade on a registered national securities exchange or on a registered national securities association. Navigate by entering citations or phrases The ODD describes: the mechanics of buying, writing and exercising standardized options; the risks of trading these options; the market for the options; the tax consequences of standardized options trading; the issuer of standardized options; the instruments underlying an options class; the Form S-20 registration process; and the availability of the options prospectus. Displaying title 12, up to date as of 7/12/2023. Address : 706, Eco Star, Near Udipi Vihar Restaurant, Goregaon (East), Mumbai Pin Code - 400063. Web17a. It is not an official legal edition of the CFR. such rule is necessary or appropriate for the protection of investors or in the public interest and is reasonably designed to promote the prompt, accurate, and safe clearance and settlement of securities transactions; in the absence of a uniform rule, the safe and efficient operation of the national system for clearance and settlement of securities transactions will be, or is, substantially impeded; and, to the extent such rule will impair or diminish, directly or indirectly, rights of, In making the findings described in subparagraph (A), the, The Advisory Committee shall conduct its activities in accordance with chapter 10 of title 5. The prompt and accurate clearance and settlement of securities transactions, including the transfer of record ownership and the safeguarding of securities and funds related thereto, are necessary for the protection of investors and, Inefficient procedures for clearance and settlement impose unnecessary costs on investors and. Pub. (a) Notice of withdrawal from registration as a transfer agent with the Commission pursuant to Mallidi Venkata Reddy. 240.17Ac3-1 Withdrawal from registration with the Commission. WebFor section 32 of the principal Act, the following section shall be substituted, namely: 32. (a) Exemption. (d) Every notice of withdrawal filed pursuant to this rule shall constitute a report within the meaning of sections 17 and 32(a) of the Act. 2000Subsec. (c)(3)(A), (4)(C). (h) to (m). WebThe Registration Act, 1908 17A. L. 111203, 763(b), added subsecs. Section Organization and Purpose The Registration Act, 1908 - Laws in Bangladesh (1) The Congress finds that (A) The prompt and accurate clearance and settlement of securities transactions, including the transfer of record ownership and the safeguarding of securities and funds related thereto, are necessary for the protection of investors and persons facilitating transactions by and acting on behalf of investors. (a) An application for registration, pursuant to section 17A(c) of the Act, of a transfer agent for which the Section Moreover, registered clearing agencies are self-regulatory organizations subject to Commission oversight under Section 17A of the Exchange Act. guide. 7/2011) WWW. According to Section 23 of the Act, all documents except a Will should be presented for registration. 78o-3(a)). NOTE: All fees and procedures for original and renewal issuance are in addition to regular registration fees pursuant to Vehicle Code Section 4000. Securities and Exchange Commission 240.17Ac22 - Office nationally recognized statistical rating organization, Pub. 1990Subsec. Registration Act Transfer agents Exempted from all provisions of the Securities Act, except the antifraud provisions of Section 17 of the Securities Act; Exempted security futures products from the provisions of Section 12(a) of the Exchange Act; Amended Section 12(g)(5) of the Exchange Act, Amended Section 2(a)(3) of the Securities Act. (B) The effective date of such registration may be postponed by order for a period not to exceed 15 days. A transfer agent of stock or shares in a mutual fund maintains the records of shareholders and transfers stock from one shareholder to another by cancellation of the surrendered certificates and issuance of new certificates in the name of the new shareholder. 78f(a)) or on a national securities association registered pursuant to section 15A(a) of the Act (15 U.S.C. Section 240.12a-9 is added to read as follows: 240.12a-9 Exemption of standardized options from section 12(a) of the Act. 1/1.1 We think that the amendments will promote efficiency by eliminating the potential for regulatory arbitrage opportunities that could result from discordant treatment of security futures products and standardized options, and by removing regulatory obstacles to trading of these securities. L. 106554, 1(a)(5) [title II, 206(d)], Pub. 33-6426 (September 16, 1982) [47 FR 41950]. (b) Except as hereinafter provided, a notice to withdraw from registration filed by a transfer agent pursuant to section 17A(c)(4) of the Act shall become effective on the sixtieth day after the filing thereof with the Commission or within such shorter period of time as the Commission may determine. The Commission shall use its authority under this chapter to assure equal regulation under this chapter of registered clearing agencies and registered transfer agents.. Except in the cases mentioned in sections 31, 88 and 89, or when the document is presented by electronic means, every document to be registered under this Act, whether such registration be compulsory or optional, shall be presented at (b)(3)(A). L. 100181, 322(1), (2), inserted and any persons associated with the transfer agent in first sentence and substituted 45 for thirty in second sentence. Therefore, a debenture that seeks to create, declare, or limit any right, title, or interest to or in immovable property is covered by Section 17 sub-section (1) of the Indian Registration Act 1908. 1a(32)] define "security futures product" as a security future or an option on a security future. SECURITIES AND EXCHANGE COMMISSION Please do not provide confidential The following examples are illustrative of the kinds of activities engaged in by transfer agents under this part. 5. 33-8114 (July 25, 2002) [67 FR 50326]. Registration Act The terms of the adopted rules are substantively comparable to the Securities Act and Exchange Act exemptions provided by the CFMA for security futures products. Documents mentioned in Section 18 of the registration act are registrable optionally. In establishing any such standards, and in the exercise of its oversight of such a clearing agency pursuant to this chapter, the Commission may conform such standards or oversight to reflect evolving United States and international standards. As the issuer of standardized options, OCC has registered the options on Form 8-A.29 Whenever an exchange has introduced options on a new underlying security or index of securities, OCC has filed an amended Form 8-A to identify the underlying security or index of securities and the exchange or exchanges on which the option is to be traded. Pub. Published on February 3, 2022By Prachi Bhardwaj. In 1974, OCC became the common clearing agency for all exchange listed options (see Release No. 78f(a)). Subsec. WebAs Ext. L. 111203, 925(a)(3), substituted 12 months or bar any such person from being associated with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor, or nationally recognized statistical rating organization, for twelve months or bar any such person from being associated with the transfer agent,. As a practical matter, OCC works with the options markets to prepare and file the ODD. Documents acknowledging the receipt or payment of any registration needs to be registered. In which case did the apex court mention that a transfer of immovable property is valid only by registered conveyance deed and not a transfer by will is invalid? We are adopting the new exemptions under the Securities Act and the Exchange Act for most standardized options substantially as proposed. Securities Act Section 2(a)(16) [15 U.S.C. 78q-1) and traded on a national securities exchange registered pursuant to section 6(a) of the Act (15 U.S.C. (c)(2). L. 107204 inserted ,or is subject to an order or finding, before enumerated and substituted (H), or (G) for or (G). (2) It shall come into force at once. This act shall be known and may be cited as the "Charitable Registration and Investigation Act." You are directed to information on how your personal information is protected. Pursuant to 5 U.S.C. 15 U.S. Code 78q1 - LII / Legal Information Institute L. 111203, set out as an Effective Date note under section 5301 of Title 12, Banks and Banking. or existing codification. 49 CFR 172.101 REGISTRATION OF BIRTHS AND DEATHS ACT Section 12(a) of the Exchange Act makes it unlawful for any broker or dealer to effect a transaction in a non-exempt security on a national securities exchange unless the security has been registered for trading on that exchange. WebPursuant to Section 17A of the Securities Exchange Act of 1934 . formatting. (g) have been enacted. For the purpose of this part, including all forms and instructions promulgated for use in connection herewith, unless the context otherwise requires: (a) The term transfer agent means any person who engages on behalf of an issuer of qualifying securities or on behalf of itself as an issuer of qualifying securities in: (1) Countersigning such securities upon issuance; (2) Monitoring the issuance of such securities with a view to preventing unauthorized issuance, a function commonly performed by a person called a registrar; (3) Registering the transfer of such securities; (4) Exchanging or converting such securities; or. REG 17 A, Special Recognition License Plate Form TA-1 - Federal Financial Institutions Examination Council L. 106554, 1(a)(5) [title II, 207(1)], inserted and derivative agreements, contracts, and transactions after prompt and accurate clearance and settlement of securities transactions. getlegalindia.com is not an advertising service for lawyers. Exchange Act Rule 12h-1(d) exempts issuers from the provisions of Section 12(g) of the Exchange Act with respect to a standardized option, as defined by Rule 9b-1(a)(4), that is issued by a clearing agency registered under Section 17A of the Exchange Act and traded on a national securities exchange registered pursuant to Section 6(a) of the Exchange Act or a national securities association registered pursuant to Section 15A(a) of the Exchange Act. However, not all securities must be registered prior to sale. The actual registration process is laid out in Section 6, under which registration entails two parts: The Commission shall adopt such rules, regulations, and orders necessary to implement this subsection no later than 1 year after July 21, 2010. Supreme Court Judgement In Balram Singh vs. Kelo Devi - A Critique Furthermore, unlike a conventional issuer, a registered clearing agency does not receive the proceeds from sales of the standardized options that it issues.24 Registration does not appear to provide any additional protections to investors in standardized options.25. (3)(A) which read as follows: The appropriate regulatory agency for a transfer agent, by order, shall deny registration to, censure, place limitations on the activities, functions, or operations of, suspend for a period not exceeding twelve months, or revoke the registration of such transfer agent, if such appropriate regulatory agency finds, on the record after notice and opportunity for hearing, that such denial, censure, placing of limitations, suspension, or revocation is in the public interest and that such transfer agent has willfully violated or is unable to comply with any provision of this section or section 78q of this title or the rules or regulations thereunder., redesignated subpars. Except as otherwise provided in this section, it shall be unlawful for any, Subject to the provisions of paragraph (4) of this subsection, the rules of the, the specific provisions of the rules of the. Registration of a transfer agent becomes effective thirty days after receipt by the ARA of the application for registration, unless the filing does not comply with applicable requirements or the ARA takes affirmative action to accelerate, deny, or postpone registration in accordance with the provisions of Section 17A(c) of the Act. The Registration Act, 1908 | 17A. Registration of contract Final Rule: Exemption for Standardized Options From Provisions I. (3), struck out former par. The exemption is necessary, even though standardized options currently are registered only pursuant to Section 12(b) of the Exchange Act, because standardized options issued by a registered clearing agency and traded on a national securities exchange will no longer qualify for the exemption in Section 12(g)(2)(A) [15 U.S.C. Not mandatory to register partition document only detailing how the properties are to be dealt with in future: SC. Registration of a class of securities under Section 12 of the Exchange Act [15 U.S.C. Satti Venkateswara Reddy Petitioner v. Mallidi (e) Any security futures product that is traded on a national securities exchange registered pursuant to section 6 of the Act (15 U.S.C. REG 17 A (REV. Exempt standardized options that are issued by a registered clearing agency and traded on a national securities exchange registered under Section 6(a) of the Exchange Act, or on a national securities association registered under Section 15A(a) of the Exchange Act, from all provisions of the Securities Act except the antifraud provisions of Section 17 of the Securities Act; Make clear that any offer or sale of a standardized option by or on behalf of the issuer of the securities underlying the standardized option, an affiliate of the issuer, or an underwriter, will constitute a contract for sale of, sale of, offer for sale, or offer to sell (as these terms are defined in Section 2(a)(3) of the Securities Act) the underlying securities. Probably should be section 78f(h)(7)(C). Any covered institution that performs any of the functions of a transfer agent as described in 341.2(a) with respect to qualifying securities shall register with the FDIC in the manner indicated in this section. (i) The term qualifying securities means: (1) Securities registered on a national securities exchange (15 U.S.C. See Release No. SEC.gov citations and headings Registration of deed of exchange: according to section 23 of The Registration Act, 1908, all documents except a Will have to be presented for registration within 4 months from the date of execution. Act 19 of 1981, sec. Births, Marriages and Deaths Registration Act, 1963 - NamibLII a. In Section 23A, the provisions of re-registration of certain documents are prescribed. XLI of 2012). 15 U.S.C. 12 CFR Part 341 -- Registration of Securities Transfer Agents UNITED STATES SECURITIES AND OMB Approval EXCHANGE Amendment of section 1. document be registered after eight months of 605(b), the Commission has certified that Rule 238 under the Securities Act, Rule 12a-9 under the Exchange Act, and amendments to Rules 9b-1 and 12h-1 under the Exchange Act, will not have a significant economic impact on a substantial number of small entities. Pub. 78l(b)); or. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Within 6 months of its designation, or such longer time as the, A provision clarifying that the requirements described in subparagraph (A) shall have no effect on, the derivative clearing organization cleared, (June 6, 1934, ch. As a (3) as subpars. Section 17 of the registration act 1908 aims to list all documents that should be registered: Documents or records of gift deed of immovable property for its transfer Short title 1. In July 2002, we proposed amendments that would exempt standardized options issued by registered clearing agencies and traded on a registered national securities exchange or an automated quotation system of a registered national securities association from all provisions of the Securities Act, other than the Section 17 antifraud provision, as well as the Exchange Act registration requirements.7 The purpose of the proposals was to harmonize the treatment of standardized options with security futures products under the Securities Act and the Exchange Act, and to remedy the longstanding paradox of applying the registration provisions to standardized options. REG 17A, Special License Plate Application - DMV The PRA defines a "collection of information" as "the obtaining, causing to be obtained, soliciting or requiring the disclosure to third parties or the public, of facts or opinions by or for an agency, regardless of form or format, calling for answers to identical questions posed to, or identical reporting or recordkeeping requirements imposed on, ten or more persons " The Form S-20 does not constitute a "collection of information" under the PRA because fewer than ten entities file Form S-20 registration statements. SEC.gov 1 CFR 1.1 1987Subsec. All of the commenters supported the amendments. WebOrder Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions from Clearing Agency Registration Requirements under Section 17A(b) of the L. 100181, 322(3)(5), added par. (7). It is a well-settled REGISTRATION ACT any act or practice in which such participant has been found to have engaged, a clearing agency from registration under this section for the clearing of security-based swaps if the Commission determines that the clearing agency is subject to comparable, ch. If you have questions or comments regarding a published document please Withdrawal from registration with the Commission L. 101432 directed Securities and Exchange Commission, in consultation with Commodity Futures Trading Commission, Board of Governors of the Federal Reserve System, and other relevant regulatory authorities, to examine progress toward establishing linked or coordinated facilities for clearance and settlement of transactions in securities, securities options, contracts of sale for future delivery and options thereon, and commodity options, and to submit to Congress, not later than 2 years from Oct. 16, 1990, a report detailing and evaluating such progress. 1437) disclaimer and copyright notice governing the 78o(b)(4)(A)]; see also Exchange Act 15(b)(4)(D) . View - Tasmanian Legislation Online Section 9(b) of the Exchange Act [15 U.S.C. ), the registration of the options on Form S-20 (17 CFR 239.20) and the availability of the prospectus and the information in Part II of the registration statement; and. 240.17Ac3-1 Withdrawal from registration with the Commission. (eg: The linking of all clearance and settlement facilities and the development of uniform standards and procedures for clearance and settlement will reduce unnecessary costs and increase the protection of investors and, to facilitate the establishment of a national system for the prompt and accurate clearance and settlement of transactions in securities (other than exempt securities); and, to facilitate the establishment of linked or coordinated facilities for clearance and settlement of transactions in securities, securities options, contracts of. (b) The filing of an amendment to an application for registration as a transfer agent under 341.3, which registration has not become effective, shall postpone the effective date of the registration for 30 days following the date on which the amendment is filed unless the FDIC accelerates, denies, or postpones the registration in accordance with section 17A(c) of the Act.