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This document outlines a proposed rule change by the New York Stock Exchange to delete Section 3 of Exchange Rule 123D related to sub-penny trading.
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How to fill out form 19b-4
How to fill out Form 19b-4
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Obtain Form 19b-4 from the relevant authority's website or office.
02
Fill out your personal information at the top of the form, including your name, address, and contact details.
03
Provide the necessary identification details as required by the form.
04
Carefully read the instructions for Section A and provide the requested information regarding the purpose of the form.
05
Complete Section B, where you will provide details about the specific transactions or dealings related to the form.
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07
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Who needs Form 19b-4?
01
Individuals or entities involved in business transactions that require reporting.
02
Taxpayers who need to declare certain financial activities.
03
Companies needing to file specific documents for regulatory compliance.
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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 submitted by self-regulatory organizations (SROs) to the Securities and Exchange Commission (SEC) to propose changes to their rules or to establish new rules.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and other regulatory bodies overseeing trading practices, are required to file Form 19b-4.
How to fill out Form 19b-4?
To fill out Form 19b-4, organizations must provide detailed information regarding the proposed rule change, including the rule text, a description of the purpose and impact of the change, and any relevant supporting materials.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to facilitate the SEC's review of proposed rule changes by SROs, ensuring that they comply with regulatory standards and serve the public interest.
What information must be reported on Form 19b-4?
Form 19b-4 must report the proposed rule change, its purpose and impact, the SRO's rationale, any relevant analysis, and compliance with the Exchange Act. Details about the implementation timeline and any required approvals must also be provided.
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