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This document outlines the proposed rule change regarding the permit fees for Remote Streaming Quote Traders (RSQTs) in the Registered Options Trader (ROT) permit fee category to clarify the fee structures
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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 form used by self-regulatory organizations (SROs) to submit proposed rule changes to the Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and certain types of financial market entities, 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 about the proposed rule change, including the text of the proposed changes, the purpose of the changes, and any relevant analysis or impact assessments.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to provide the SEC with the necessary information to evaluate and approve or disapprove proposed rule changes made by SROs.
What information must be reported on Form 19b-4?
Form 19b-4 must report information such as the proposed text of the rule change, the rationale for the change, how it aligns with the SRO's regulatory obligations, and any potential economic impact.
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