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This document outlines proposed amendments to the NASD Code of Arbitration Procedure for Industry Disputes, filed with the Securities and Exchange Commission.
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People Also Ask about
What is 19b-4 ETF?
A 19b-4 filing is the second part of a two-step process for proposing a crypto ETF to the U.S. Securities and Exchange Commission. Once acknowledged by the SEC, the filing will be published in the Federal Register, initiating the agency's approval process.
What is ETF 19b-4?
Form 19b-4 is used by self-regulatory organizations in the United States to inform the Securities Exchange Commission of any changes to their rules, such as the launch of a new crypto ETF.
What is the 19b-4 form used for?
SEC Form 19b-4 is used by covered self-regulatory organizations (SROs) to record a rule change with the SEC. Many stock exchanges and financial regulatory bodies are SROs, and so their bylaws, rules, and regulations must be filed with the SEC for public recordkeeping.
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What is Form 19b-4?
Form 19b-4 is a filing used by self-regulatory organizations (SROs) to propose rule changes to the U.S. Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and options markets, are required to file Form 19b-4 when they propose changes to their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, SROs must provide detailed information about the proposed rule changes, including descriptions, justifications, and the proposed text of the rules.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow SROs to notify the SEC of proposed rule changes and to seek SEC approval for those changes, ensuring compliance with federal securities laws.
What information must be reported on Form 19b-4?
Form 19b-4 requires information such as the rule changes being proposed, the rationale behind the changes, the impact on market participants, and compliance with legal standards.
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