Code of Federal Regulations · Section
§ 240.17a-19 — a-19 Form X-17a-19 Report By National Securities Exchanges And Registered National Securities Associations Of Changes In The Membership Status Of Any Of Their Members
17 C.F.R. § 240.17a-19
Every national securities exchange and every registered national securities association must file with the Commission and with the Securities Investor Protection Corporation such information as is required by § 249.635 of this chapter on Form X-17A-19 within five business days of the occurrence of the initiation of the membership of any person or the suspension or termination of the membership of any member. Form X-17A-19 must be filed with the Commission electronically on EDGAR in accordance with the EDGAR Filer Manual, as defined in 17 CFR 232.11 (Rule 11 of Regulation S-T), and must be filed in accordance with the requirements of Regulation S-T. Nothing in this section shall be deemed to relieve a national securities exchange or a registered national securities association of its responsibilities under § 240.17a-5(b)(5) except that, to the extent a national securities exchange or a registered national securities association promptly files a report on Form X-17A-19 including therewith, inter alia, information sufficient to satisfy the requirements of § 240.17a-5(b)(5), it shall not be required to file a report pursuant to § 240.17a-5(b). Upon the occurrence of the events described in this paragraph, every national securities exchange and every registered national securities association shall notify in writing such member of its responsibilities under § 240.17a-5(b).
Authorizing Statute
-
Records and reports15 U.S.C. § 78q
-
Registration of securities15 U.S.C. § 77f
-
Registration and regulation of brokers and dealers15 U.S.C. § 78o
-
Foreign securities exchanges15 U.S.C. § 78dd
-
Information required in registration statement15 U.S.C. § 77g
-
General provisions of a liquidation proceeding15 U.S.C. § 78fff
-
Necessity for regulation15 U.S.C. § 78b
-
Proxies15 U.S.C. § 78n
-
Classes of securities under this subchapter15 U.S.C. § 77c
-
Registration requirements for securities15 U.S.C. § 78l
-
Executive compensation and corporate governance12 U.S.C. § 5221
-
Findings and purposes12 U.S.C. § 5461
-
Creation; membership; compensation and expenses12 U.S.C. § 241
-
Short title15 U.S.C. § 78a
-
Trading by members of exchanges, brokers, and dealers15 U.S.C. § 78k
-
Manipulative and deceptive devices15 U.S.C. § 78j
-
Operations of designated financial market utilities12 U.S.C. § 5465
-
Definitions and application15 U.S.C. § 78c
-
National securities exchanges15 U.S.C. § 78f
-
Rules, regulations, and orders; annual reports15 U.S.C. § 78w
-
Comprehensive energy plan15 U.S.C. § 781
-
Transaction fees15 U.S.C. § 78ee
-
Failure of corporate officers to certify financial reports18 U.S.C. § 1350