Code of Federal Regulations · Section
§ 249.801 — Form 15a, For Application For Registration As A National Securities Association Or Affiliated Securities Association
17 C.F.R. § 249.801
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This form shall be filed as an application for registration as a national securities association or as an affiliated securities association pursuant to § 240.15aa-1 of this chapter (Rule 15aa-1).
For Federal Register citations affecting Form X-15AA-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Authorizing Statute
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Definitions and application15 U.S.C. § 78c
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Periodical and other reports15 U.S.C. § 78m
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Operations of designated financial market utilities12 U.S.C. § 5465
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Findings and purposes12 U.S.C. § 5461
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Short title15 U.S.C. § 78a