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This document outlines a proposed rule change to require members of BATS Y-Exchange, Inc. to accurately identify the capacity of each order as Principal, Agency, or Riskless Principal Order to enhance
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How to fill out 19b-4
How to fill out 19b-4
01
Obtain the 19b-4 form from the appropriate regulatory authority's website.
02
Fill in Part A with the name of the exchange and the date of the submission.
03
Complete Part B with a detailed description of the proposed rule change.
04
In Part C, provide specific justifications for the proposed rule change.
05
Fill out Part D if applicable, detailing any related filings and their status.
06
In Part E, include any supporting documentation or evidence.
07
Review the form for accuracy and completeness.
08
Submit the completed form to the relevant authority, ensuring that you keep copies for your records.
Who needs 19b-4?
01
Registered exchanges that need to propose changes to their rules.
02
Market participants looking to implement new trading practices.
03
Organizations preparing to comply with regulatory requirements.
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What is the rule 19b 4 E under the Securities Exchange Act of 1934?
Rule 19b-4(e) requires every self-regulatory organization (SRO) seeking to rely on Rule 19b-4(e) to file Form 19b-4(e) with the Securities and Exchange Commission (Commission or SEC) at least 5 business days after commencement of trading a new derivative securities product that is not deemed to be a proposed rule
What is a 19b 4 filing?
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.
What is an S-4 filing for?
Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.
What does a form 4 filing mean?
What's a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. With this form filing, the public is made aware of the insider's various transactions in company securities, including the amount purchased or sold and the price per share.
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What is 19b-4?
19b-4 refers to a form filed with the Securities and Exchange Commission (SEC) by self-regulatory organizations (SROs) to propose rule changes.
Who is required to file 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and securities associations are required to file Form 19b-4.
How to fill out 19b-4?
To fill out Form 19b-4, SROs must provide specific details about the proposed rule change, including the text of the rule, a statement of purpose, and any relevant analyses.
What is the purpose of 19b-4?
The purpose of Form 19b-4 is to ensure that the SEC and the public are informed about proposed changes to the rules governing the trading of securities.
What information must be reported on 19b-4?
Form 19b-4 must report the proposed rule's details, including the rationale for the change, the text of the rule, and any expected impact on the market.
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