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This document outlines a proposed rule change regarding Benchmark and Qualified Contingent Trades for Nasdaq Securities by the Philadelphia Stock Exchange, providing details on the amendments to Rule
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How to fill out form 19b-4
How to fill out Form 19b-4
01
Obtain Form 19b-4 from the appropriate regulatory body or website.
02
Read the instructions carefully to understand the requirements of the form.
03
Fill in the applicant's information in the designated fields, ensuring accuracy.
04
Provide a description of the proposal or application related to the form.
05
Attach any necessary supporting documents as specified in the instructions.
06
Review the completed form for any errors or omissions.
07
Sign and date the form where required.
08
Submit the form through the specified method, whether online or by mail.
Who needs Form 19b-4?
01
Individuals or entities seeking a regulatory approval or exemption related to a specific activity.
02
Organizations involved in trading or market operations requiring compliance with regulatory standards.
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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 required by the Securities and Exchange Commission (SEC) for self-regulatory organizations (SROs) in the United States to submit proposed rule changes.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and other regulatory bodies are required to file Form 19b-4.
How to fill out Form 19b-4?
To fill out Form 19b-4, organizations must provide detailed descriptions of the proposed rule changes, supporting information, and any related materials, following the specific instructions provided by the SEC.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow the SEC to review proposed rule changes to ensure they comply with securities laws and regulations before they are implemented.
What information must be reported on Form 19b-4?
Information that must be reported on Form 19b-4 includes the text of the proposed rule changes, the rationale behind them, an assessment of their impact, and any relevant legal analysis.
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