Registration of intermediaries: Form A application and routing rules, transitional compliance, and separate certificates required for each activity.

Registration requires submission of an application in Form A with required additional information and payment of the prescribed fee; certain categories must apply through the relevant stock exchange, clearing corporation, depository or designated self regulatory organization. Relevant intermediaries must be examined for eligibility and complete applications forwarded with recommendations and fees to the Board within the prescribed timeframe. Transitional provisions treat prior pending applications as valid, require renewal applications for time limited certificates, mandate furnishing of Form A for permanent certificate holders within the transitional period, and require a separate certificate for each intermediary activity.

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