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This document proposes modifications to the fee schedule of BATS Y-Exchange, Inc. for its members, detailing changes in fee structures, rebates, and conditions for liquidity transactions, effective
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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 regulatory filing used by self-regulatory organizations (SROs) to propose changes to rules or procedures, particularly in the securities market, and to seek approval from the Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and other trading platforms are required to file Form 19b-4 when they propose amendments to their rules or regulations.
How to fill out Form 19b-4?
To fill out Form 19b-4, the filer must provide detailed information about the proposed rule change, including the text of the rule, the rationale for the change, and any relevant legal and economic analyses. This form needs to be carefully completed in accordance with SEC guidelines.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow self-regulatory organizations to communicate rule changes to the SEC to ensure transparency, compliance, and to facilitate the SEC's review and approval process for proposed amendments.
What information must be reported on Form 19b-4?
Form 19b-4 must report information such as the text of the proposed rule change, the reasons for the proposal, the date of submission, and any impact assessments that explain the practical implications of the new rule on market participants.
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