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This document is a proposal by The Depository Trust Company to implement a new service called the New Issue Information Dissemination System (NIIDS) aimed at improving the reporting and transparency
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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 Securities and Exchange Commission (SEC).
Who is required to file Form 19b-4?
Self-regulatory organizations (SROs), such as stock exchanges and certain other financial industry regulatory bodies, are required to file Form 19b-4 when they propose changes to their rules.
How to fill out Form 19b-4?
To fill out Form 19b-4, SROs must provide details about the proposed rule change, including the text of the proposed new rule, a statement of the purpose and objectives, and an analysis of the impact of the rule change.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure transparency and regulatory oversight by allowing the SEC and other stakeholders to review proposed rule changes by SROs.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the text of the proposed rule change, the rationale behind the change, descriptions of any impact on market participants, and areas of compliance with existing regulations.
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