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This document outlines the proposed rule change regarding new hours of business on the Philadelphia Stock Exchange's foreign currency options floor, effective December 1, 2006.
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How to fill out 19b-4
How to fill out 19b-4
01
Gather necessary information regarding the proposed rule change.
02
Complete the header section with your contact information.
03
Clearly state the rule change you are proposing in Section 1.
04
Provide detailed reasoning and justification for the rule change in Section 2.
05
Fill out Section 3 with the relevant data and analysis regarding the impact of the rule change.
06
Include any supporting documents or exhibits in Section 4.
07
Review the entire form for completeness and accuracy.
08
Submit the completed form to the appropriate regulatory authority.
Who needs 19b-4?
01
Entities seeking to propose a change to existing rules or regulations.
02
Organizations that are part of regulated markets looking to amend their trading practices.
03
Compliance officers and legal teams within financial institutions.
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What is the rule 19b 4 E under the Securities Exchange Act of 1934?
Rule 19b-4(e) requires every self-regulatory organization (SRO) seeking to rely on Rule 19b-4(e) to file Form 19b-4(e) with the Securities and Exchange Commission (Commission or SEC) at least 5 business days after commencement of trading a new derivative securities product that is not deemed to be a proposed rule
What is a 19b 4 filing?
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.
What is an S-4 filing for?
Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.
What does a form 4 filing mean?
What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.
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What is 19b-4?
19b-4 is a filing form used by self-regulatory organizations to propose changes to their rules and procedures under the Securities Exchange Act of 1934.
Who is required to file 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and other trading platforms are required to file Form 19b-4 when they want to propose rule changes.
How to fill out 19b-4?
To fill out Form 19b-4, an SRO must provide detailed information about the proposed rule change, including a description of the rule, the reason for the change, and any relevant legal or regulatory implications.
What is the purpose of 19b-4?
The purpose of Form 19b-4 is to ensure transparency and regulatory compliance by allowing the SEC to review proposed changes to SRO rules and assess their impact on the market.
What information must be reported on 19b-4?
Form 19b-4 must report information such as the text of the proposed rule change, the purpose and basis for the change, any analysis of the change's impact, and the schedule for implementation.
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