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This document is a filing with the SEC for a proposed rule change to extend the operation of a pilot program related to clearly erroneous executions as per EDGX Rule 11.13.
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How to fill out Form 19b-4
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Who needs Form 19b-4?
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Individuals or entities seeking to apply for or update information related to financial transactions.
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Businesses looking to comply with regulations pertaining to their financial practices.
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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 a proposed rule change by a self-regulatory organization (SRO).
Who is required to file Form 19b-4?
Self-regulatory organizations such as stock exchanges and other markets that operate under SEC regulations are required to file Form 19b-4.
How to fill out Form 19b-4?
To fill out Form 19b-4, the filer must provide basic identifying information, a description of the proposed rule change, the text of the rule, and the rationale for the change, including any relevant market data.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow the SEC to review proposed changes to rules and regulations that govern the operations of self-regulatory organizations, ensuring that they are consistent with the Securities Exchange Act.
What information must be reported on Form 19b-4?
Form 19b-4 must report the name of the SRO, details about the proposed rule change, the legal basis for the proposal, any impact on competition, and any public comments received regarding the proposal.
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