Title 17

PART 249 SUBPART I

Subpart I - Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

• 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

17:4.0.1.1.10.9.128.1	SECTION 249.801	249.801 Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.
17:4.0.1.1.10.9.128.2	SECTION 249.802	249.802 Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
17:4.0.1.1.10.9.128.3	SECTION 249.803	249.803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
17:4.0.1.1.10.9.128.4	SECTION 249.819	249.819 Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
17:4.0.1.1.10.9.128.5	SECTION 249.820	249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).
17:4.0.1.1.10.9.128.6	SECTION 249.821	249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
17:4.0.1.1.10.9.128.7	SECTION 249.822	249.822 Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.

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