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This document outlines a proposed rule change regarding amendments to fees and rebates applicable to Members and non-Members of EDGX Exchange, Inc., specifically reducing the number of free DIRECT
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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 form used by self-regulatory organizations (SROs) to propose new rules or rule changes to the U.S. Securities and Exchange Commission (SEC), particularly in relation to trading systems, market operations, or member conduct.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as exchanges and certain other trading venues are required to file Form 19b-4 when they propose new rules or changes to existing rules that govern market operations or member conduct.
How to fill out Form 19b-4?
To fill out Form 19b-4, SROs must provide information including the text of the proposed rule or rule change, a description of its purpose and effect, analysis of any economic impact, and any necessary supporting documentation. The form should be completed in accordance with SEC guidelines.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure that the SEC and the public are informed about changes to trading rules, enabling oversight of SROs and ensuring compliance with market regulations.
What information must be reported on Form 19b-4?
Form 19b-4 must report details including the full text of the proposed rule or changes, a statement of the purpose and basis for the proposal, a description of the economic impact, any comments or regulatory analysis, and other relevant information as required by the SEC.
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