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This document outlines a proposed rule change to extend the Penny Pilot Program for the BATS Options Market as part of the regulatory submission to the Securities and Exchange Commission.
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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 form used by self-regulatory organizations (SROs) to submit proposed rule changes to the Securities and Exchange Commission (SEC) pursuant to the Securities Exchange Act of 1934.
Who is required to file Form 19b-4?
Only self-regulatory organizations (SROs) such as stock exchanges and certain other registered organizations are required to file Form 19b-4 when proposing changes to their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, SROs must provide details about the proposed rule change, including the text of the proposed rule, a purpose statement, and any relevant supporting information. SROs must adhere to specific instructions provided by the SEC.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to inform the SEC and the public about proposed changes to the rules of SROs, allowing for transparency and regulatory review to ensure compliance with securities laws.
What information must be reported on Form 19b-4?
Form 19b-4 must report the following information: the proposed rule change text, the rationale for the change, information about any affected parties, and an assessment of the change's impact on competition.
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