Get the free Form 19b-4 - NASDAQ PHLX Rules

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OMB APPROVAL OMB Number: 32350045 Estimated average burden hours per response............38 Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION File

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How to fill out form 19b-4 - nasdaq

01

Read the instructions provided by NASDAQ for filling out form 19b-4.

02

Gather all the necessary information and supporting documents required for the form.

03

Start by entering your name, contact information, and the date on the top of the form.

04

Follow the instructions on the form to provide all the required details about the proposed rule change.

05

Double-check all the information entered to ensure accuracy and completeness.

06

Review the completed form and make any necessary corrections.

07

Sign and date the form before submitting it to NASDAQ.

08

Keep a copy of the completed form for your records.

Who needs form 19b-4 - nasdaq?

01

Companies or individuals proposing a rule change on NASDAQ need to fill out form 19b-4.

02

Any company or individual seeking to become a member of NASDAQ may be required to submit form 19b-4.

03

Form 19b-4 is necessary for those who want to make a filing with the NASDAQ to propose or amend a rule.

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What is form 19b-4 - nasdaq?

Form 19b-4 is a form filed with the Securities and Exchange Commission (SEC) by a national securities association, such as Nasdaq, to propose new rule changes or amendments.

Who is required to file form 19b-4 - nasdaq?

National securities associations, like Nasdaq, are required to file form 19b-4 with the SEC when proposing rule changes.

How to fill out form 19b-4 - nasdaq?

Form 19b-4 must be filled out following the instructions provided by the SEC, including providing details on the proposed rule changes, rationale, and potential impacts.

What is the purpose of form 19b-4 - nasdaq?

The purpose of form 19b-4 is to provide transparency and allow for public comment on proposed rule changes by national securities associations like Nasdaq.

What information must be reported on form 19b-4 - nasdaq?

Form 19b-4 requires details on the proposed rule changes, justification, potential impacts, and any other relevant information.

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