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This document outlines a proposed rule change by the Depository Trust Company (DTC) regarding the Fast Automated Securities Transfer Program (FAST) and Direct Registration System (DRS) requirements
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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 form used by self-regulatory organizations (SROs) to submit proposed rule changes to the Securities and Exchange Commission (SEC) for approval.
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and registered national securities associations, are required to file Form 19b-4 when proposing changes to their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, an SRO must provide the proposed rule change details, including the specific provisions being changed, the purpose of the change, any supporting information, and the impact of the change on the operation of the market.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to allow SROs to propose changes to their rules and ensure these changes are reviewed by the SEC for compliance with federal securities laws and regulations.
What information must be reported on Form 19b-4?
Form 19b-4 must include details such as the text of the proposed rule change, a statement of the purpose and necessity of the change, analysis of the impact on competition, and any relevant data or studies supporting the proposal.
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