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

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How to fill out and rule 19b-4 formreunder

01

To fill out form 19b-4, follow these steps:

02

Obtain a copy of the form from the designated regulatory authority.

03

Begin by entering the necessary identification information, such as your name and contact details.

04

Provide a detailed description of the proposed rule change under Rule 19b-4.

05

Include any supporting documentation or exhibits, if required.

06

Ensure that all information provided is accurate, complete, and legible.

07

Sign and date the form to certify the accuracy of the submitted information.

08

Submit the completed form to the appropriate regulatory authority within the specified deadline.

09

Keep a copy of the filled-out form for your records.

Who needs and rule 19b-4 formreunder?

01

Any individual or entity seeking to propose a rule change to a designated self-regulatory organization (SRO) needs to fill out form 19b-4 under Rule 19b-4.

02

This form is typically required by entities such as exchanges, clearing agencies, and securities associations governed by SRO rules.

03

It allows the regulatory authority to review and consider the proposed rule change before implementation.

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What is and rule 19b-4 formreunder?

Rule 19b-4 refers to a specific rule under the Securities Exchange Act of 1934 that outlines the requirements for self-regulatory organizations to file proposed rule changes with the SEC.

Who is required to file and rule 19b-4 formreunder?

Self-regulatory organizations such as stock exchanges and FINRA are required to file Rule 19b-4 forms with the SEC when proposing changes to their rules.

How to fill out and rule 19b-4 formreunder?

To fill out a Rule 19b-4 form, the self-regulatory organization must provide detailed information about the proposed rule change, including its purpose and potential impact.

What is the purpose of and rule 19b-4 formreunder?

The purpose of Rule 19b-4 forms is to provide transparency and allow the SEC to review proposed rule changes to ensure they are in the public interest and comply with securities laws.

What information must be reported on and rule 19b-4 formreunder?

Rule 19b-4 forms typically require information such as the rationale for the proposed rule change, potential conflicts of interest, and any anticipated effects on market participants.

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