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This document outlines the proposed changes to Sections 303A.00, 303A.02, and 303A.05 of the NYSE's Listed Company Manual in compliance with SEC Rule 10C-1 regarding compensation committee independence
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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 used by self-regulatory organizations (SROs) to submit proposed rule changes to the Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as exchanges and associations are required to file Form 19b-4 when proposing changes to their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, SROs must provide details about the proposed rule change, including the text of the amendment, the reasons for the change, and any relevant impact assessments.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow SROs to transparently communicate proposed changes to their rules and to obtain SEC approval for these changes.
What information must be reported on Form 19b-4?
Form 19b-4 must report the proposed rule text, a statement of the purpose and statutory basis for the change, an analysis of the impact on competition, and any relevant supporting materials.
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