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Proposed rule change to amend BATS Rules to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination.
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How to fill out Form 19b-4
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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 filing used by self-regulatory organizations (SROs) to submit proposed rule changes to the U.S. Securities and Exchange Commission (SEC) as required under the Securities Exchange Act.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as exchanges and associations, are required to file Form 19b-4 when they intend to propose a rule change.
How to fill out Form 19b-4?
Form 19b-4 must be filled out by providing detailed information regarding the proposed rule change, including the text of the rule, the purpose of the change, and any impact it may have on market participants.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure transparency and to allow public comment on proposed changes to rules by SROs, thereby providing a mechanism for oversight by the SEC.
What information must be reported on Form 19b-4?
Form 19b-4 must report the specific rule change proposed, the reasons for the change, the expected impact on market functionality, and any relevant legal or regulatory considerations.
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