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This document outlines a proposed rule change regarding the Equity Option Specialist Deficit Fee, including amendments to shortfall fees and credits for equity options specialists.
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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 other market participants are required to file Form 19b-4 when they propose changes to their rules or regulations.
How to fill out Form 19b-4?
To fill out Form 19b-4, filers should provide information about the proposed rule change, including a description of the rule, the reasons for the change, and any relevant data or analysis supporting the proposal.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow SROs to formally submit proposed changes to their rules to the SEC for review and approval, ensuring transparency and regulatory oversight.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the text of the proposed rule change, the purpose of the change, the impact on market participants, and any relevant statutory or regulatory provisions.
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