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ForInternalSecFileSubmitUse OnlyOriginalandNot9FORM
ofRequiredtoOrganizationListingRule 19b4e UnderInitialNameofNational
Type organization TradingSelfRegulatoryStock
NewofIssuerSecuritiesHoursresponseper31
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02
Begin by entering the required identifying information, such as the name of the reporting company and its Central Index Key (CIK) number.
03
Provide the dates for the period covered by the report.
04
Indicate the nature of the amendment, whether it is a new filing or an amended filing.
05
Include the rule number (19b-4e) and the date of the rule change that triggered the requirement to file this report.
06
Include any exhibits or attachments that are required by the rule, such as financial statements or other supporting documentation.
07
Sign and date the report.
08
Submit the completed form to the Securities and Exchange Commission (SEC) either electronically or in paper form as specified by the SEC.
09
Retain a copy of the filed report for your records.
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Be sure to review the instructions for filling out this form in detail to ensure compliance with all requirements.
Who needs rule 19b-4e under?
01
Rule 19b-4e under is required by certain entities that are registered with the Securities and Exchange Commission (SEC). Specifically, it applies to self-regulatory organizations (SROs) that operate trading systems or facilities. These SROs are required to file reports under this rule to provide information about changes to their rules or operations that could impact the fairness and efficiency of the markets they operate in.
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