Securities Law

24-101F2 - Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching [F - Rescinded]

Published Date: 2007-04-01
Effective Date: 2007-04-01
Rescinded Date: 2009-09-28
Document(s):

Concurrently Published:

CALENDAR QUARTER PERIOD COVERED:

From: _____________________ to: ___________________


IDENTIFICATION AND CONTACT INFORMATION:

1. Full name of clearing agency:

2. Name(s) under which business is conducted, if different from item 1:

3. Address of clearing agency's principal place of business:

4. Mailing address, if different from business address:

5. Contact employee name:

    Telephone number:

    E mail address:


INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 5.1 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.

Exhibits shall be provided in an electronic file, in the following file format: "CSV" (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).


EXHIBITS:

1. DATA REPORTING

Exhibit A - Aggregate matched trade statistics

For client trades, provide the information to complete Tables 1 and 2 below for each month in the quarter. These two tables can be integrated into one report. Provide separate aggregate information for trades that have been reported or entered into your facilities as matched trades by a matching service utility.   


Month/Year: ______ (MMM/YYYY)

Table 1-Equity trades:

 

Entered into clearing agency by dealers

Matched in clearing agency by custodians

  # of Trades % Industry $ Value of Trades % Industry# of Trades % Industry $ Value of Trades % Industry
 T         
 T+1           
 T+2         
 T+3        
 andgt;T+3        
 Total        

 

 

 

 

 

  
Table 2-Debt trades:

Entered into clearing agency by dealers

Matched in clearing agency by custodians

  # of Trades % Industry $ Value of Trades % Industry# of Trades % Industry $ Value of Trades % Industry
 T         
 T+1           
 T+2         
 T+3        
 andgt;T+3        
 Total        

 

 

 

 

 

Legend

"# of Trades" is the total number of transactions in the month;
"$ Value of Trades" is the total value of the transactions (purchases and sales) in the month.

 

 


 
Exhibit B - Individual matched trade statistics

Using the format below, for each participant of the clearing agency, provide the percent of client trades during the quarter that have been entered and matched by the participant within the time required in Part 3 of the Instrument. The percentages given should relate to both the number of client trades that have been matched within the time and the aggregate value of the securities purchased and sold in the client trades that have been matched within the time.

 

Percentage matched within timelines

 

Equity trades

Debt trades

Participant 

By # of transactions

By Value

 By # of transactions

By Value

     
     

 


 

 

  

CERTIFICATE OF CLEARING AGENCY

The undersigned certifies that the information given in this report on behalf of the clearing agency is true and correct.


DATED at _________________________ this ____ day of ______________  20___

_______________________________________________________
(Name of clearing agency   type or print)

_______________________________________________________
(Name of director, officer or partner   type or print)

_______________________________________________________
(Signature of director, officer or partner)

_______________________________________________________
(Official capacity   type or print)