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This document outlines the proposed rule changes by the Philadelphia Stock Exchange concerning registration and fingerprinting processes for members and participant organizations under the Securities
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How to fill out Form 19b-4
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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 a rule change related to the trading of securities on their exchanges.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as national securities exchanges and registered securities associations, 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, an SRO must provide detailed information on the proposed rule change, including a description of the rule, its purpose, and any related materials or documents that support the proposal.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure transparency and adherence to regulatory standards by requiring SROs to formally propose and disclose changes to their rules to the Securities and Exchange Commission (SEC) and the public.
What information must be reported on Form 19b-4?
Form 19b-4 must include information such as the text of the proposed rule change, the purpose and impact of the change, any related provisions, and a collection of supporting materials and explanations for stakeholders to review.
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