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Proposed amendments to Rule G-40, on Electronic Mail Contacts, and Form G-40 requiring dealers to maintain internet email accounts and electronically submit updates.
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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 securities exchanges and associations are required to file Form 19b-4 when they propose a change to their rules.
How to fill out form 19b-4?
To fill out Form 19b-4, the filer must provide details regarding the proposed rule change, including the text of the rule, the purpose of the rule change, and a description of its impact, along with any required supporting documents.
What is the purpose of form 19b-4?
The purpose of Form 19b-4 is to ensure that the SEC and the public are informed of proposed changes to the rules governing SROs, allowing for transparency and regulatory oversight.
What information must be reported on form 19b-4?
Form 19b-4 requires reporting of information including the text of the proposed rule, explanations of why the change is necessary, anticipated effects, and any alterations made from earlier submissions.
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