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This document outlines the proposed amendments to the CME's rules regarding clearing member anti-money laundering compliance programs, ensuring compliance with relevant laws and regulations.
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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 propose rule changes to the Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and registered associations are required to file Form 19b-4 when they want to amend their rules.
How to fill out Form 19b-4?
Form 19b-4 should be filled out carefully, providing detailed descriptions of the proposed rule change, including the text of the rule, the purpose of the change, and any relevant supporting data or information.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow SROs to obtain SEC approval for rule changes that affect trading, market structure, or regulatory practices within their respective organizations.
What information must be reported on Form 19b-4?
Form 19b-4 must report details such as the specific rule being amended, the reasons for the amendment, a description of how it aligns with the public interest, and any anticipated effects on the market.
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