SEC Form CA-1



A form that is completed and submitted to the Securities and Exchange Commission (SEC) for the purpose of registering as a clearing agency. SEC Form CA-1 is also used to apply for exemption from registration as a clearing agency and to make any amendments to a firm already registered.


Clearing agencies are self-regulatory organizations (SRO); there are two types of clearing agencies - clearing corporations and depositories. Section 3(a)(23) of the Securities Exchange Act of 1934 defines clearing agencies.

  1. Depository Trust Company - DTC

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  2. Clearing Corporation

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  3. Securities And Exchange Commission ...

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  4. Depository Trust & Clearing Corporation ...

    Established in 1999, the DTCC is a holding company consisting ...
  5. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  6. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
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