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This document outlines an amendment to the proposed rule change for the BATS Y-Exchange Inc., specifically regarding the Retail Price Improvement Program and its operational details and adjustments.
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How to fill out form 19b-4
How to fill out Form 19b-4
01
Obtain Form 19b-4 from the relevant regulatory authority or website.
02
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03
Fill in your personal information at the top of the form, including your name, address, and contact information.
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Provide the required details about the entity that the form is being submitted for, if applicable.
05
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06
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08
Submit the completed form along with any required attachments to the appropriate address.
Who needs Form 19b-4?
01
Individuals or entities engaging in activities regulated under the jurisdiction requiring Form 19b-4.
02
Organizations that are subject to reporting requirements specified by regulatory authorities.
03
Compliance professionals who need to submit necessary documentation for regulatory purposes.
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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 amendments to existing rules under the Securities Exchange Act.
Who is required to file Form 19b-4?
Self-regulatory organizations, such as stock exchanges and other trading venues, are required to file Form 19b-4 when they wish to propose new rules or amend existing ones.
How to fill out Form 19b-4?
To fill out Form 19b-4, an SRO must provide details about the proposed rule change, including the text of the rule, a description of its purpose, and an analysis of its impact, along with any required supporting documentation.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure that proposed rule changes by self-regulatory organizations are submitted to the Securities and Exchange Commission (SEC) for review and approval.
What information must be reported on Form 19b-4?
Form 19b-4 must report the text of the proposed rule change, the rationale and purpose behind the change, the expected impact on the market, and any additional information necessary for the SEC's review process.
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