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(3) Pursuant to section 15(b) of the .ct (15 U.S.C. 780(b)): (i) To authorize the issuance of rders granting registration of brokers r dealers within forty-five days of the ling of an application for registration s a broker or dealer (or within such inger period as to which the appliant consents); (ii) To authorize the issuance of rders canceling registrations of broers or dealers, or pending applicaons for registration, if such brokers r dealers or applicants for registraon are no longer in existence or have eased to do business as brokers or ealers; (4) Pursuant to Rule 19h-1 240.19h-1 of this chapter): (i) To grant applications with repect to membership in, association ith a member of, or participation in, self-regulatory organization and for ther relief as to persons who are subct to an applicable disqualification here such relationships or other lief have been approved or recomjended by a self-regulatory organizaon; (ii) To extend the time for Commison consideration of notices for adission to membership or participaon in a self-regulatory organization : association with a member of perins subject to a statutory disqualifiition pursuant to paragraph (a)(7) of lat rule. (5) Pursuant to Rule 17a-5(1)(3) 240.17a-5(1)(3) of this chapter), to onsider applications, by brokers and ealers for exemptions from, and exInsion of time within which to file, ports required by Rule 17a-5 240.17a-5 of this chapter), and to rant, and to authorize the issuance of rders denying, such applications proded such applicant is advised of his ght to have such denial reviewed by le Commission. (6) Pursuant to Rule 10b-6(f) 240.10b-6(f) of this chapter), to rant requests for exemptions from ule 10b-6 ($ 240.10b-6 of this chap?r). (7) Pursuant to Rule 1503-1 | 240.15c3-1 of this chapter): (i) To approve lesser equity requirelents in specialist or market maker ccounts pursuant to Rule 15c3

1(a)(6)(iii)(E) ($ 240.1503-1(a)(6)(iii)(E) of this chapter);

(ii) To grant exemptions from Rule 1503-1 (240.1503-1 of this chapter) pursuant to Rule 1503-1(b)(3) ($ 240.1503-1(b)(3) of this chapter);

(iii) To grant temporary exemptions upon specified terms and conditions from the debt equity requirements of Rule 1503-1(d)($ 240.1503-1(d) of this chapter);

(iv) To approve a change in election of the alternative capital requirement pursuant to Rule 15c3-1(f)(1) (i) and (ii) ($ 240.1503-1(f)(1) (i) and (ii) of this chapter).

(8) Pursuant to Rule 17a-10(d) (§ 240.17a-10(d) of this chapter), to consider applications by broker-dealers for extensions of time in which to file reports required by Rule 17a100$ 240.17a-10 of this chapter), and to grant, and to authorize the issuance of orders denying, such applications provided such applicant is advised of his right to have such denial reviewed by the Commission. Any extension granted shall not be for more than 150 days after the close of the calendar year for which the report on Form X-17A-10 (§ 249.618 of this chapter) is made.

(9) Pursuant to Rule 10b-17(b)(2) ($ 240.10b-17(b)(2) of this chapter), to review applications of various issuers for exemption from the notice requirements of Rule 10b-17 ($ 240.10b-17 of this chapter) and to grant or deny such applications, with authority to issue orders granting and denying same, provided each applicant is advised of his right to have a denial reviewed by the Commission.

(10) Pursuant to Rule 1503-3 ($ 240.15c3-3 of this chapter) to find and designate as control locations for purposes of Rule 1503-3(c)(7) ($ 240.15c3-3(c)(7) of this chapter) certain broker-dealer accounts which are adequate for the protection of customer securities.

(11) [Reserved]

(12) Pursuant to Rule 19b-4 ($ 240.19b-4) of this chapter, to publish notices of proposed rule changes filed by self-regulatory organizations and to approve such proposed rule changes.

(13) Pursuant to section 15B(a) of the Act (15 U.S.C. 780-4(a)), to authorize the issuance of orders granting registration of municipal securities dealers within forty-five days of the filing of an application for registration as a municipal securities dealer (or within such longer period as to which the applicant consents).

53-047 0-85-15

(14) Pursuant to section 17A(C)(2) of the Act (15 U.S.C. 789-1(c)(2)), to authorize the issuance of orders accelerating registration of transfer agents for which the Commission is the appropriate regulatory agency before the expiration of thirty days following the dates on which applications for registration as a transfer agent are filed.

(15) Pursuant to Rule 10a-1(f) [$ 240.10a-1(f)] to grant requests for exemptions from Rule 10a-1;

(16) Pursuant to sections 17A(b)(1), 17A(b)(2) and 19(a) of the Act (15 U.S.C. 789-1(b)(1), 789-1(b)(2) and 78s(a)), to publish notice of the filing of applications for registration and for exemption from registration as a clearing agency.

(17) Pursuant to Rule 17f-2 (§ 240.17f-2 of this chapter).

(i) To disapprove a “Notice Pursuant to Rule 17f-2” pursuant to Rule 17f2(e) ($ 240.17f-2(e) of this chapter).

(ii) To grant exemptions upon specified terms, conditions and periods, for classes of persons subject to Rule 17f2 pursuant to Rule 17f-2(g) ($ 240.17f2(g) of this chapter).

(iii) To approve amendments to plan of a registered national securities exchange or a national securities association submitted pursuant to Rule 17f2(c) ($ 240.177-2(c) of this chapter).

(18) Pursuant to Rule 17d-1 ($ 240.17d-1 of this chapter) to designate one self-regulatory organization responsible for the examination of brokers and dealers which are members of more than one such organization to insure compliance with applicable financial responsibility rules.

(19)(i) To grant and deny applications for confidential treatment filed pursuant to section 24(b) of the Act (15 U.S.C. 78x(b)) and Rule 24b-2 thereunder (240.24b-2 of this chapter);

(ii) To revoke a grant of confidential treatment for any such application.

(20) Pursuant to sections 8(c) and 15(c)(2) of the Act (15 U.S.C. 78h(c) and 780(2)) and paragraphs (g) of

Rules 8C-1 and 15c2-1 thereunder, to make findings that the agreements, safeguards, and provisions of registered clearing agencies are adequate for the protection of investors.

(21) Pursuant to section 17A(C)(3)(C) of the Act (15 U.S.C. 789-1(c)(3)(C)), to set terms and conditions upon which transfer agents registered with the Commission may withdraw from registration as a transfer agent by filing a written notice of withdrawal.

(22) Pursuant to section 17A(c)(3)(C) of the Act (15 U.S.C. 787-1(c)(3XC)), to authorize the issuance of orders cancelling registrations of transfer agents registered with the Commission or denying applications for registration as a transfer agent with the Commission, if such transfer agents are no longer in existence or have ceased to do business as transfer agents.

(23) Pursuant to section 17(b) of the Act (15 U.S.C. 78q(b)), prior to any examination of a registered clearing agency, registered transfer agent, or registered municipal securities dealer whose appropriate regulatory agency is not the Commission, to notify and consult with the appropriate regulatory agency for such clearing agency, transfer agent, or municipal securities dealer.

(24) Pursuant to section 17(c)(3) of the Act, 15 U.S.C. 78q(c)(3), in regard to clearing agencies, transfer agents and municipal securities dealers for which the Commission is not the appropriate regulatory agency, (i) to notify the appropriate regulatory agency of any examination conducted by the Commission of any such clearing agency, transfer agent, or municipal securities dealer; (ii) to request from the appropriate regulatory agency a copy of the report of any examination of

any such clearing agency, transfer agent, or municipal securities dealer conducted by such appropriate regulatory agency and any data supplied to it in connection with such examination; and (iii) to furnish to the appropriate regulatory agency on request a copy of the report of any examination of any such clearing agency, transfer agent, or municipal securities dealer conducted by the Commission and any data supplied to

in connection with such examinan. 25) Pursuant to Rule 17f-1 240.17f-1 of this chapter), to desige persons not subject to $ 240.17f-1 reporting institutions upon speci1 terms, conditions, and time peri1. 26) (Reserved] 27) To approve amendments to the at industry plan governing the conidated transaction reporting system lared effective by the Commission May 10, 1974, pursuant to then le 17a-15, now $ 240.11Aa3-1 (Rule Aa3-1 under the Act). 28) To grant exemptions from Rule \c1-1 (“Rule”) ($ 240.11AC1-1), pur.nt to paragraph (d) of the rule. 29) To issue supplemental orders difying the terms upon which selfulatory organizations are authori to act jointly in planning, develng, operating or regulating faciliof a national market system in acdance with the terms of amendnts to plans which plans have been viously approved by the Commisn under section 11A(a)(3)(B) of the urities Exchange Act of 1934. 30) Pursuant to section 17(a) of the i, 15 U.S.C. 78q, to approve amendnts to the plans which are consisti with the reporting structure of les 17a-5(a)(4) and 17a-10(b) filed self-regulatory organizations pursuito Rules 17a-5(a)(4) and 17a-10(b). 31) Pursuant to section 19(b)(2) of : Act, 15 U.S.C. 785(b)(2), to extend

a period not exceeding 90 days m the date of publication of notice the filing of a proposed rule change suant to section 19(b)(1) of the in 15 U.S.C. 788(b)(1), the period ing which the Commission must by ler approve the proposed rule inge or institute proceedings to demine whether the proposed rule inge should be disapproved. 32) Pursuant to paragraph (e) of le 10b-10 (240.10b-10(e) of this ipter), to grant exemptions from le 10b-10. 33) Pursuant

Rule 17a-6 240.17a-6 of this chapter) to apwe record destruction plans and endments thereto filed by a nationsecurities exchange or a national seities association.

(34) Pursuant to Rule 17d-2 (§ 240.17d-2 of this chapter) to publish notice of plans and plan amendments filed pursuant to Rule 17d-2 and to approve such plans and plan amendments.

(35) To grant exemptions from Rule 13e-4 ($ 240.13e-4 of this chapter) pursuant to Rule 13e-4(g)(5) ($ 240.13e4(g)(5) of this chapter).

(36) To grant exemptions from Rule 11Acl-2 ($ 240.11Acl-2 of this chapter), pursuant to Rule 11Ac1-2(g) ($ 240.11Acl-2(g) of this chapter).

(37) Pursuant to Rule 11Aa2-1, 17 CFR 240.11Aa2-1, to publish notice of the filing of a designation plan with respect to national market system securities, or any proposed amendment thereto, and to approve such plan or amendment.

(38) Pursuant to Rule 0-4 ($ 240.0-4 of this chapter), to disclose to the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation and to the state banking authorities, information and documents deemed confidential regarding registered clearing agencies and registered transfer agents; Provided That, in matters in which the Commission has entered a formal order of investigation, such disclosure shall be made only with the concurrence of the Director of the Division of Enforcement or his or her delegate, and the General Counsel or his or her delegate.

(39) Pursuant to Rule 9b-1, (i) To enable distribution of an options disclosure document or amendment to an options disclosure document to the public prior to the time required in the Rule or to lengthen the period before distribution can be made;

(ii) To require refiling of an amendment to an options disclosure document pursuant to the procedure set forth in (b)(2)(a) of the rule.

(40) Pursuant to section 15B(b)(2)(B) of the Act, 15 U.S.C., 780-4(b), to review and, where appropriate, approve the selection by the Municipal Securities Rulemaking Board (“Board”) of public representatives to serve on the Board.

(41) Pursuant to Rule 6a-2(c) ($ 240.6a-2 of this chapter) to exempt

to

for the purpose of section 8(a) of the Act (15 U.S.C. 77h(a));

(iii) To determine to be effective applications for qualification of trust indentures filed with registration statements.

(6) Pursuant to instructions as to financial statements contained in forms adopted under the Act:

(i) To permit the omission of one or more financial statements therein required or the filing in substitution therefor of appropriate statements of comparable character, or

(ii) To require the filing of other financial statements in addition to, or in substitution for, the statements therein required.

(7) Acting pursuant to section 4(3) of the Act (15 U.S.C. 770(3)) or Rule 174 thereunder ($ 230.174 of this chapter), to reduce the 40-day period or the 90day period with respect to transactions referred to in section 4(3)(b) of the Act (15 U.S.C. 770(3)(B)).

(8) To act on applications to dispense with any written consents of an expert pursuant to Rule 437 ($ 230.437 of this chapter).

(9) To adjust the filing date of a filing submitted in

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electronic format where the acceptance of the filing is delayed because of equipment malfunction or technical problem.

(b) With respect to the Securities Act of 1933 (15 U.S.C. 77a, et seq.) and Regulation B thereunder ($ 230.300, et seq. of this chapter):

(1) To authorize the commencement of the offering within shorter periods of time than 10 days after the filing of the offering sheet, pursuant to Rule 310(a) thereunder ($ 230.310(a) of this chapter);

(2) To authorize the issuance of orders temporarily suspending the effectiveness of offering sheets as prescribed in Rule 334 thereunder (§ 230.334 of this chapter);

(3) To issue notices of suspension of offering sheets and of opportunity for hearing thereon, in the manner prescribed in Rule 336(a) thereunder (§ 230.336(a) of this chapter);

(4) To terminate temporary suspension orders issued by the Commission under Rule 334 (§ 230.334 of this chapter), to terminate proceedings under Rule 336(a) ($ 230.336(a) of this chap

ter) and to issue notices of such action, if at any time before the Commission enters an order setting the matter down for hearing, as set forth in Rule 336(c) ($ 230.336(c) of this chapter), it finds that the offering sheet has been amended to cure the objections speci. fied in the temporary suspension order or the notice instituting the proceed. ing;

(5) To authorize the issuance of orders granting requests for withdrawal of offering sheets, pursuant to Rule 344 thereunder ($ 230.344 of this chapter), when it appears that no sales of securities described in said offering sheets have, in fact, been made;

(6) To authorize the issuance of orders declaring offering sheets effective, as amended, filed in accordance with the provisions in Rule 340 thereunder ($ 230.340 of this chapter) and Rule 342(c) thereunder ($ 230.342(c) of this chapter);

(7) To authorize the issuance of orders terminating the effectiveness of offering sheets upon applications of persons filing them in compliance with the provisions of Rule 346 thereunder ($ 230.346 of this chapter); and

(8) To authorize the granting of ap. plications for release of reports filed with the Commission on Form 1-G (§ 239.101(b)(1) of this chapter) pursuant to Rule 316(a) thereunder (§ 239.316(a) of this chapter).

(c) With respect to the Securities Act of 1933 (15 U.S.C. 77a, et seq.) and Regulation A thereunder ($ 230.251, et seq. of this chapter), to authorize the granting of applications under Rule 252(g) (§ 230.252(g) of this chapter) upon a showing of good cause that it is not necessary under the circumstances that an exemption under Regulation A be denied.

(d) With respect to the Securities Act of 1933 (15 U.S.C. 77a et seq.) and Rule 242 thereunder ($ 230.242 of this chapter), to authorize the granting of applications under Rule 242(a)(5)(v) (§ 230.242(a)(5)(v) of this chapter) upon a showing of good cause that it is not necessary under the circumstances that an exemption under Rule 242 be denied.

(e) With respect to the Trust Indenture Act of 1939 (15 U.S.C. 77aaa, et seq.):

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(1) To determine to be effective prior to the 20th day after filing thereof applications for qualification of indentures filed on Form T-3 (§ 269.3 of this chapter) pursuant to section 307 of the Act (15 U.S.C. 77ggg), and Rule 7a-l thereunder (§ 260.7a-1 of this chapter);

(2) To authorize the issuance of orders exempting certain securities from the provisions of the Act pursuant to sections 304 (c) and (d) thereof (15 U.S.C. 77ddd(c), 77ddd(d)) and Rule 4c-1, thereunder ($ 260.40-1 of this chapter);

(3) In cases in which opportunity for hearing is waived, to authorize the issuance of orders determining that a trusteeship under an indenture to be qualified and another indenture is not so likely to involve a material conflict of interest as to make it necessary to disqualify the trustee pursuant to section 310(b)(1)(ii) of the Act (15 U.S.C. 77jjj(b)(1)(ii)) and Rule 106-2 thereunder (§ 260.10b-2 of this chapter).

(4) To adjust the filing date of a filing submitted

electronic format where the acceptance of the filing is delayed because of equipment malfunction or technical problem.

(f) With respect to the Securities Exchange Act of 1934 (15 U.S.C. 78a, et seq.):

(1) To determine to be effective applications for registration of securities on a national securities exchange prior to 30 days after receipt of a certification pursuant to section 12(d) of the Act (15 U.S.C. 781(d));

(2) Pursuant to instructions as to financial statements contained in forms adopted under the Act:

(i) To extend the time for filing or to permit the ommission of one or more financial statements therein required or the filing in substitution therefor of appropriate statements of comparable character.

(ii) To require the filing of other financial statements in addition to, or in substitution for, the statements therein required;

(3)(i) To grant and deny applications for confidential treatment filed pursuant to section 24(b) of the Act (15 U.S.C. 78x(b)) and Rule 24b-2 thereunder ($ 240.24b-2 of this chapter);

(ii) To revoke a grant of any such application for confidential treatment.

(4) To authorize the use of forms of proxies, proxy statements or other soliciting material within periods of time less than that prescribed in R es 14a6, 14a-8(d) and 14a-11 ($ $ 240.14a-6, 240.14a-8(d), and 240.14a-11 of this chapter); to authorize the filing of information statements within periods of time less than that prescribed in Rule 140-5(a) ($ 240.140-5(a) of this chapter); and to authorize the filing of information pursuant to Rule 14d-2(f) (§ 240.14d-2(f) of this chapter) and Rule 148-1 ($ 240.14f-1 of this chapter) within periods of time less than that prescribed in those sections.

(5) To grant or deny applications filed pursuant to section 12(g)(1) of the Act (15 U.S.C. 781(g)(1)) for extensions of time within which to file registration statements pursuant to that section, provided the applicant is advised of his right to have any such denial reviewed by the Commission.

(6) To accelerate at the request of the issuer the effective date of registration statements filed pursuant to section 12(g) of the Act (15 U.S.C. 782(g)).

(7) To issue notices of applications for exemptions and to grant exemptions under section 12(h) of the Act (15 U.S.C. 781(h)).

(8) At the request of the issuer to accelerate the termination of registration of any class of equity securities as provided in section 12(g)(4) of the Act (15 U.S.C. 781(g)(4)) or as provided in Rule 12g3-2(a)(2) ($ 240.12g3-2(a)(2)).

(9) Upon receipt of a notification from the Secretary of the Treasury designating a security for exemption pursuant to section 3(a)(12), to issue public releases announcing such designation.

(10) To issue public releases listing those foreign issuers which appear to be current in submitting the information specified in Rule 12g3-2(b) ($ 240.12g3-2(b)).

(11) To adjust the filing date of a filing submitted in

electronic format where the acceptance of the filing is delayed because of equipment malfunction or technical problem.

(g) To designate officers empowered to administer oaths and affirmations,

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