24-101F4 - Matching Service Utility Notice of Cessation of Operations [F Advance Notice - Lapsed]
| Published Date: | 2007-03-09 |
|---|---|
| Document(s): |
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Concurrently Published:
DATE OF CESSATION INFORMATION:
Type of information: O VOLUNTARY CESSATION O INVOLUNTARY CESSATION
Effective date of operations cessation: _______________ (DD/MMM/YYYY)
MATCHING SERVICE UTILITY IDENTIFICATION AND CONTACT INFORMATION:
1. Full name of matching service utility:
2. Name(s) under which business is conducted, if different from item 1:
3. Address of matching service utility's principal place of business:
4. Mailing address, if different from business address:
5. Legal counsel:
Firm name:
Telephone number:
E mail address:
INSTRUCTIONS:
Deliver this form together with all exhibits pursuant to section 6.3 of the Instrument.
For each exhibit, include your name, the date of delivery of the exhibit and the date as of which the information is accurate (if different from the date of the delivery). If any exhibit required is not applicable, a full statement describing why the exhibit is not applicable shall be furnished in lieu of the exhibit.
EXHIBITS:
Exhibit A
Provide the reasons for your cessation of business.
Exhibit B
Provide a list of all the users or subscribers for which you provided services during the last 30 days prior to you ceasing business. Identify the type(s) of business of each user or subscriber (e.g., custodian, dealer, adviser, or other party).
Exhibit C
List all other matching service utilities for which an interoperability agreement was in force immediately prior to cessation of business.
CERTIFICATE OF MATCHING SERVICE UTILITY
The undersigned certifies that the information given in this report on behalf of the matching service utility is true and correct.
DATED at __________________________ this_____ day of _____________ 20____
_______________________________________________________
(Name of matching service utility type or print)
_______________________________________________________
(Name of director, officer or partner type or print)
_______________________________________________________
(Signature of director, officer or partner)
_______________________________________________________
(Official capacity type or print)