Withdraw a Registration or Certification Statement

A filer or its agent may withdraw certain registrations or certifications by filing a relevant withdrawal submission on EDGAR. Reference copies of these withdrawal submissions are linked below for the convenience of filers. The filer does not need to contact SEC staff prior to filing the withdrawal on EDGAR.

If you filed a registration statement prematurely or in error, please file the corresponding withdrawal. To request withdrawal of a registration statement, you must submit a registration statement withdrawal request using EDGAR submission type “RW.” To request withdrawal of a pre- or post-effective amendment, you must submit an amendment withdrawal request using EDGAR submission type “AW.”

• Notice of Withdrawal from Registration as Investment Adviser (PDF)
• Uniform Request for Broker-Dealer Withdrawal (PDF)
• Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
• Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
• Notice of Withdrawal from Registration as a Municipal Securities Dealer (PDF)
• Notification of Withdrawal of Election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
• Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)
• Application or Amendment to Application for Registration or Withdrawal from Registration as Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)
• Notice of Withdrawal from Registration as Transfer Agent (PDF).

An exchange may, by notice to the Commission, withdraw its certification prior to the time the registration to which it relates first becomes effective pursuant to § 240.12d1-6 (Withdrawal of certification).

• Letter—Withdrawal of Certification by an Exchange.