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This document outlines a proposed rule change submitted by EDGX Exchange, Inc., clarifying that the proposed rule change related to the business combination of NYSE Euronext and Deutsche Börse AG
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How to fill out 19b-4
How to fill out 19b-4
01
Begin by obtaining the 19b-4 form from the official website or the regulatory authority.
02
Fill out the sections identifying the applicant, including their name and contact information.
03
Provide a detailed description of the proposed rule change or action.
04
Include the relevant details and justifications for the proposed change.
05
Specify the dates of the proposed rule change and its implementation timeline.
06
Attach any necessary supporting documents that reinforce the proposal.
07
Review the form for completeness and accuracy before submission.
08
Submit the completed form to the relevant regulatory body as per their submission guidelines.
Who needs 19b-4?
01
Market participants looking to propose changes to rules or operations.
02
Exchanges seeking to modify existing regulations or implement new ones.
03
Broker-dealers and securities firms aiming to ensure compliance with regulatory requirements.
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People Also Ask about
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 form that is used by self-regulatory organizations (SROs) to propose rule changes to the Securities and Exchange Commission (SEC) in the United States.
Who is required to file 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and other entities that operate under SEC supervision, are required to file Form 19b-4 when they seek to change their rules.
How to fill out 19b-4?
To fill out Form 19b-4, an SRO must provide information regarding the proposed rule changes, the purpose of the changes, how they will affect the market, and comply with specific SEC requirements for documentation and justification.
What is the purpose of 19b-4?
The purpose of Form 19b-4 is to ensure transparency and regulatory oversight of proposed changes in the rules governing SROs, allowing the SEC to evaluate their impact on the market and market participants.
What information must be reported on 19b-4?
Form 19b-4 must include the text of the proposed rule change, an explanation of its purpose, any potential effects on competition and the market, and a summary of comments received from the public or other relevant parties.
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