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PROCEDURES FOR SUBMITTING A DTC LETTER OF REPRESENTATIONS, SPECIAL LETTER, OR RIDER (FORM LETTERS) Form Letters are to be submitted as single sided documents by the Issuer, or It's Counsel. Retyped,
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Online form 19b-4 procedures are regulatory filings used by exchanges to propose changes to their rules or procedures. This form is required to be submitted to the Securities and Exchange Commission (SEC) for approval.
Exchanges that seek to alter their rules or trading practices must file the online form 19b-4 procedures with the SEC.
To fill out online form 19b-4 procedures, exchanges must provide detailed information regarding the proposed rule changes, including the text of the changes, a description of the purpose, and any relevant economic impact assessments.
The purpose of online form 19b-4 procedures is to provide a transparent mechanism for exchanges to request rule changes and to allow the SEC to review and approve such changes to ensure they are fair and in the public interest.
Information required includes the proposed rule text, an explanation of the need for the change, the impact on market participants, and any relevant supporting data or studies.
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