Get the free for Amendments *) Form 19b-4 Page 1 of * 33 Filing by NASDAQ OMX PHLX LLC

OMB APPROVAL OMB Number: 3235-0045 Estimated average burden hours per response............38 Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION File

How to fill out for amendments form 19b-4

How to fill out for amendments form 19b-4:

1. Start by gathering all the necessary information and documents required for filling out the form. This may include the details of the amendment being made, any supporting documentation, and any relevant contact information.
2. Begin the form by providing your personal information, such as your name, address, and contact details. Make sure to fill in all the required fields accurately and completely.
3. Next, indicate the specific section or sections of the form that you are amending. Clearly state the reason for the amendment and provide a brief explanation of the changes being made.
4. Attach any supporting documentation that is required to accompany the amendment. This may include additional forms, financial statements, or other relevant materials. Ensure that each document is clearly labeled and organized.
5. Review the completed form and all attached documents for accuracy and completeness. Double-check for any errors or missing information. It is essential to provide accurate and up-to-date information to avoid potential delays or rejections.
6. Sign and date the form. Make sure to follow any specific instructions regarding where to sign or if additional signatures are required. Keep a copy of the completed form and supporting documents for your records.

Who needs form 19b-4 amendments:

1. Individuals or businesses who have filed a previous form with the Securities and Exchange Commission (SEC) and need to make changes or updates to the filed information.
2. Entities regulated by the SEC, such as investment advisers, broker-dealers, or securities exchanges, who are required to file amendments to ensure compliance with regulatory requirements.
3. Any individual or organization subject to SEC oversight or reporting obligations that have undergone significant changes which necessitate the filing of an amendment. This may include changes in ownership, address, offering details, or any other material information.

It is important to consult the official guidelines and regulations provided by the SEC or seek professional advice to determine if you need to fill out this specific form and to ensure accurate completion.

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What is for amendments form 19b-4?

Form 19b-4 is a form used to report changes or amendments to a previously filed document with the relevant regulatory agency.

Who is required to file for amendments form 19b-4?

Entities or individuals who need to report amendments or changes to previously filed documents are required to file Form 19b-4.

How to fill out for amendments form 19b-4?

Form 19b-4 can be filled out by providing the necessary information as required by the regulatory agency, including details of the previous filing and the specific amendments being made.

What is the purpose of for amendments form 19b-4?

The purpose of Form 19b-4 is to ensure transparency and accuracy in reporting any changes or amendments made to previously filed documents, helping regulatory agencies and the public stay informed.

What information must be reported on for amendments form 19b-4?

The information that must be reported on Form 19b-4 includes details of the previous filing, the specific changes or amendments being made, and any other relevant information requested by the regulatory agency.