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OMB APPROVAL OMB Number: 3235-0045 Expires: June 30, 2007, Estimated average burden hours per response............38 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 19b-4 Page 1 of

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How to fill out form 19b-4 - nyse

How to fill out form 19b-4 - NYSE:

01

Gather the necessary information: Before starting the form, make sure you have all the required information at hand, such as the name of the applicant, contact details, and a description of the proposed rule change.

02

Complete the top section: Begin by entering the date of the filing and the name of the security exchange involved. Provide the full name of the applicant and their contact information, including address, phone number, and email.

03

Provide details about the proposed rule change: In this section, clearly describe the purpose and details of the rule change being proposed. Include information about the affected securities, market participants, and any potential impact on market structure.

04

Attach supporting documentation: If there are any supporting documents, such as amendments to the rule or other relevant materials, attach them to the form. Ensure that all attachments are appropriately labeled and organized.

05

Review and sign the form: Before submitting the form, thoroughly review all the information provided to ensure accuracy and completeness. Once satisfied, sign the form using the appropriate signature block.

Who needs form 19b-4 - NYSE?

Form 19b-4 - NYSE is necessary for any individual or entity seeking to propose a rule change to the New York Stock Exchange (NYSE). This form is typically filled out by market participants such as issuers, brokers, dealers, and other members of the exchange.

The form allows the NYSE to evaluate and review proposed rule changes and assess their potential impact on the market and participants. It helps in ensuring transparency and compliance with the exchange's regulatory requirements.

Therefore, anyone planning to introduce a rule change that falls under the jurisdiction of the NYSE should complete form 19b-4 in order to initiate the review process and obtain the necessary approval.

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