General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 17a-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
Every national securities exchange and every registered national securities association
shall file with the Commission at its principal office in Washington, D.C., and
with the Securities Investor Protection Corporation such information as is required
by Rule 635 of this chapter on Form X-17A-19 within 5 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. Nothing in this section shall be deemed to relieve
a national securities exchange or a registered national securities association
of its responsibilities under Rule 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 Rule 17a-5(b)5, it
shall not be required to file a report pursuant to Rule 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 Rule 17a-5(b).
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