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This document is a proposed rule change by BATS Exchange filed under the Securities Exchange Act of 1934, including amendments and contact information for the responsible staff member.
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How to fill out form 19b-4
How to fill out Form 19b-4
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Step 1: Obtain Form 19b-4 from the appropriate governmental or regulatory website.
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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 regulatory filing used by certain self-regulatory organizations (SROs) to propose changes to their rules and regulations, which must 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 proposing changes to their rules.
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 purpose of the change, and an explanation of how it complies with applicable laws and regulations.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure transparency and regulatory oversight of rule changes proposed by self-regulatory organizations, allowing the SEC to evaluate the implications of such changes for market integrity and investor protection.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the specific proposed changes to the rules of the SRO, the rationale for the changes, how they impact market participants, and any relevant statistical data or analyses supporting the proposal.
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