SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION
AS SECURITIES INFORMATION PROCESSOR UNDER
THE SECURITIES EXCHANGE ACT OF 1934
GENERAL INSTRUCTIONS FOR PREPARING AND FILING FORM SIP
1. Four copies of Form SIP and Exhibits thereto are to be filed with the Securities and Exchange Commission by applicants for
registration as a securities information processor, or by registered securities information processors amending such registration,
pursuant to Section 11A of the Securities Exchange Act of 1934 and the rules and regulations thereunder. Applicants may prepare
their own form but must follow the format prescribed herein. Upon the filing of an application for registration, the Commission will
publish notice of the filing and afford interested persons an opportunity to submit written data, views and arguments concerning such
application. No application for registration shall be effective unless the Commission, by order, grants such registration.
Individuals’ names, except the executing signature in Item 11, shall be given in full (last name, first name, middle name).
Signatures on all copies of the Form filed with the Commission shall be executed manually. If the Form is filed by a sole proprietor,
it shall be signed by such proprietor; if filed by a partnership, it shall be signed in the name of the partnership by a general partner
duly authorized; if filed by an unincorporated organization or association which is not a partnership, it shall be signed in the name
of such organization or association by the managing agent-i.e., a duly authorized person who directs or manages or who participates
in the directing or managing of its affairs; if filed by a corporation, it shall be signed in the name of the corporation by a principal
officer duly authorized.
If Form SIP is being filed as an application for registration, all applicable items must be answered in full. If any item is not applicable,
indicate by “no