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This document outlines a proposed rule change by BATS Exchange to amend Rule 11.13 regarding order execution and routing orders away from the Exchange.
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How to fill out Form 19b-4
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Obtain Form 19b-4 from the appropriate regulatory authority or their website.
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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 regulatory filing used by self-regulatory organizations (SROs) to propose changes to their rules and to report such 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 associations 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 a detailed description of the proposed rule changes, the purpose of the changes, an analysis of the impact on the market, and any relevant supporting documents as required by the SEC.
What is the purpose of Form 19b-4?
The purpose of Form 19b-4 is to ensure transparency and regulatory compliance by allowing SROs to submit proposed rule changes for approval, enabling the SEC to review and monitor market practices.
What information must be reported on Form 19b-4?
Form 19b-4 must report information including the specific rule changes proposed, the rationale for the changes, the anticipated effects on the market, and any relevant legal or regulatory considerations.
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