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This document outlines a proposed rule change to amend Exchange By-Law Article X and related rules regarding the establishment of a Hearing Officer and modifications to the hearing and sanctioning
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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 registered securities exchanges to propose a rule change to the Securities and Exchange Commission (SEC) under the Securities Exchange Act of 1934.
Who is required to file Form 19b-4?
Registered securities exchanges that wish to propose rule changes are required to file Form 19b-4 with the SEC.
How to fill out Form 19b-4?
To fill out Form 19b-4, filers must provide detailed information regarding the proposed rule changes, including the text of the proposed rule, the reasoning behind the change, and any impact it may have on market participants.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to provide transparency and allow for regulatory review of proposed rule changes by exchanges, ensuring compliance with federal securities laws.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the proposed rule change text, analysis of the change, compliance with applicable laws, and how the change serves the public interest.
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