Get the free Form 19b-4 Petition for Approval of Proposed Rule Change Applying Nasd Conduct Rules...
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CARL B. WILKERSON CHIEF COUNSEL, SECURITIES carlwilkerson acli.com October 17, 2000, Jonathan G. Katz, Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 205496009
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What is form 19b-4 petition for?
Form 19b-4 petition is used to request approval from the Securities and Exchange Commission (SEC) for certain proposed rule changes by a self-regulatory organization.
Who is required to file form 19b-4 petition for?
Self-regulatory organizations such as stock exchanges are required to file form 19b-4 petitions with the SEC.
How to fill out form 19b-4 petition for?
Form 19b-4 petition must be filled out accurately and completely, providing all required information and supporting documentation.
What is the purpose of form 19b-4 petition for?
The purpose of form 19b-4 petition is to seek SEC approval for proposed rule changes by a self-regulatory organization.
What information must be reported on form 19b-4 petition for?
Form 19b-4 petition must include details about the proposed rule changes, the rationale behind them, and any potential impact on the market or investors.
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