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This document contains a proposed rule change by BATS Exchange to amend the fee schedule applicable to Members and non-members, as per the requirements of the Securities Exchange Act of 1934.
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How to fill out Form 19b-4
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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 changes to their rules and regulations, which need to be submitted to the Securities and Exchange Commission (SEC) for approval.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs) such as stock exchanges and clearing agencies are required to file Form 19b-4 when they propose any rule changes.
How to fill out Form 19b-4?
To fill out Form 19b-4, an SRO must complete sections detailing the proposed rule change, including the purpose of the change, the impact on market participants, and any relevant market data, ensuring all required fields are accurately completed.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to provide a structured process for SROs to propose rule changes to the SEC, ensuring that changes are transparent, fair, and consistent with securities laws.
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 statutory basis for the change, the impact on other market participants, and a description of any comments received regarding the proposed change.
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