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This document discusses a proposed rule change regarding $5 strike price intervals for Exchange Traded Fund (ETF) options priced above $200, providing the rationale and statutory basis for the change.
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How to fill out form 19b-4
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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 propose changes to their rules and regulations, which must be submitted to the Securities and Exchange Commission (SEC) for approval.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and other trading platforms, are required to file Form 19b-4 when they seek to amend their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, applicants need to provide a detailed explanation of the proposed rule change, a statement of the purpose of the amendment, any relevant supporting documents, and an analysis of how the proposed change meets the requirements of the Securities Exchange Act.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure that the SEC can review and approve changes to SRO rules, maintaining transparency and protecting investors while allowing for regulatory updates.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the specific rule amendments being proposed, an explanation of the change, any potential impact on the market, and compliance with legal requirements under the Securities Exchange Act.
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