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Clear Street Derivatives LLC – ‘SBSE-C’ on 9/28/23

On:  Thursday, 9/28/23, at 3:41pm ET   ·   Accession #:  1983408-23-6   ·   File #:  26-00231

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  As Of               Filer                 Filing    For·On·As Docs:Size

 9/28/23  Clear Street Derivatives LLC      SBSE-C                 1:2K

Certification for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant   —   Form SBSE-C

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SBSE-C      Certification for Registration by a Security-Based  HTML      3K 
                Swap Dealer or Major Security-Based Swap                         
                Participant -- primary_doc.xml


        

This ‘SBSE-C’ Document is an XML Data File that may be rendered in various formats:

  Form SBSE-C    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Certification for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant
 
schema version:

SBSE-C: Filer Information

SBSE-C: Certification 1

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

Instructions:

  • This Certification 1 must be signed by a senior officer of the applicant.

  I certify that -
  • (1) after due inquiry, I have reasonably determined that the applicant has developed and implemented written policies and procedures reasonably designed to prevent violation of federal securities laws and the rules thereunder, and
  • (2) I have documented the process by which I reached such determination.

Applicant Name:
Clear Street Derivatives LLC
Date:
9/28/23
Signature of Senior Officer:
Patrick Travers
Name of Senior Officer:
Patrick Travers
Title of Senior Officer
CEO / Senior Officer / Director

SBSE-C: Certification 2

FORM SBSE-C

Certification

Applicant Name:  Clear Street Derivatives LLC

Date:     SEC Filer No: 

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

Instructions:

  • This certification must be signed by the applicant's Chief Compliance Officer designated pursuant to Exchange Act Section 15F(k) or by his or her designee.
  • For purposes of this Form, the term associated person shall have the meaning as specified in Section 3(a)(70) of the Exchange Act [15 U.S.C. 78c(a)(70)].

  The applicant certifies that it -
  • (a) has performed background checks on all of its associated persons who are natural persons and who effect or are involved in effecting security-based swaps on its behalf, and
  • (b) neither knows, nor in the exercise of reasonable care should have known, that any associated person who effects or is involved in effecting security-based swaps on its behalf is subject to a statutory disqualification, as described in Sections 3(a)(39)(A) through (F) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(39)(A) – (F)), unless otherwise specifically provided by rule, regulation or order of the Commission.

Applicant Name:
Clear Street Derivatives LLC
Date:
9/28/23
Signature of Chief Compliance Officer or Designee:
Ursula Clay
Name of Chief Compliance Officer or Designee:
Ursula Clay
If Designee, Title of Designee:

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Filing Submission 0001983408-23-000006   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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