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Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) 19b-4 - Official Federal Forms
| Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) Form. This is a national form and can be used in Securities And Exchange Commission . |
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OMB APPROVAL OMB Number: 3235-0045 Expiration Date May 31, 2013 Estimated average burden hours per response..............38 Required fields are shown with yellow backgrounds and asterisks. Page 1 of * SECURITIES AND EXCHANGE COMMISSION File No.* SR - 2012 - * WASHINGTON, D.C. 20549 Amendment No. (req. for Amendments *) Form 19b-4 National Securities Clearing Corporation Filing by Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 Initial * Amendment * Withdrawal Section 19(b)(2) * Section 19(b)(3)(A) * Rule Pilot Extension of Time Period for Commission Action * Date Expires * 19b-4(f)(1) 19b-4(f)(2) 19b-4(f)(3) Notice of proposed change pursuant to the Payment, Clearing, and Settlement Act of 2010 19b-4(f)(4) 19b-4(f)(5) 19b-4(f)(6) Section 19(b)(3)(B) * Security-Based Swap Submission pursuant to the Securities Exchange Act of 1934 Section 806(e)(1) Section 806(e)(2) Section 3C(b)(2) Exhibit 2 Sent As Paper Document Exhibit 3 Sent As Paper Document Description Provide a brief description of the action (limit 250 characters, required when Initial is checked *). Contact Information Provide the name, telephone number, and e-mail address of the person on the staff of the self-regulatory organization prepared to respond to questions and comments on the action. First Name * Title * E-mail * Telephone * Fax Last Name * Signature Pursuant to the requirements of the Securities Exchange Act of 1934, has duly caused this filing to be signed on its behalf by the undersigned thereunto duly authorized. (Title *) Date 12/19/2012 By (Name *) NOTE: Clicking the button at right will digitally sign and lock this form. A digital signature is as legally binding as a physical signature, and once signed, this form cannot be changed. Digitally Sign and Lock Form SEC 1832 (1/13) American LegalNet, Inc. www.FormsWorkFlow.com Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 For complete Form 19b-4 instructions please refer to the EFFS website. Form 19b-4 Information * Add Remove View The self-regulatory organization must provide all required information, presented in a clear and comprehensible manner, to enable the public to provide meaningful comment on the proposal and for the Commission to determine whether the proposal is consistent with the Act and applicable rules and regulations under the Act. Exhibit 1 - Notice of Proposed Rule Change * Add Remove View The Notice section of this Form 19b-4 must comply with the guidelines for publication in the Federal Register as well as any requirements for electronic filing as published by the Commission (if applicable). The Office of the Federal Register (OFR) offers guidance on Federal Register publication requirements in the Federal Register Document Drafting Handbook, October 1998 Revision. For example, all references to the federal securities laws must include the corresponding cite to the United States Code in a footnote. All references to SEC rules must include the corresponding cite to the Code of Federal Regulations in a footnote. All references to Securities Exchange Act Releases must include the release number, release date, Federal Register cite, Federal Register date, and corresponding file number (e.g., SR-[SRO] -xx-xx). A material failure to comply with these guidelines will result in the proposed rule change being deemed not properly filed. See also Rule 0-3 under the Act (17 CFR 240.0-3) The Notice section of this Form 19b-4 must comply with the guidelines for publication in the Federal Register as well as any requirements for electronic filing as published by the Commission (if applicable). The Office of the Federal Register (OFR) offers guidance on Federal Register publication requirements in the Federal Register Document Drafting Handbook, October 1998 Revision. For example, all references to the federal securities laws must include the corresponding cite to the United States Code in a footnote. All references to SEC rules must include the corresponding cite to the Code of Federal Regulations in a footnote. All references to Securities Exchange Act Releases must include the release number, release date, Federal Register cite, Federal Register date, and corresponding file number (e.g., SR-[SRO] -xx-xx). A material failure to comply with these guidelines will result in the proposed rule change, security-based swap submission, or advance notice being deemed not properly filed. See also Rule 0-3 under the Act (17 CFR 240.0-3) Copies of notices, written comments, transcripts, other communications. If such documents cannot be filed electronically in accordance with Instruction F, they shall be filed in accordance with Instruction G. Exhibit 1A- Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice by Clearing Agencies Add Remove View Exhibit 2 - Notices, Written Comments, Transcripts, Other Communications Add Remove View Exhibit Sent As Paper Document Exhibit 3 - Form, Report, or Questionnaire Add Remove View Copies of any form, report, or questionnaire that the self-regulatory organization proposes to use to help implement or operate the proposed rule change, or that is referred to by the proposed rule change. Exhibit Sent As Paper Document Exhibit 4 - Marked Copies Add Remove View The full text shall be marked, in any convenient manner, to indicate additions to and deletions from the immediately preceding filing. The purpose of Exhibit 4 is to permit the staff to identify immediately the changes made from the text of the rule with which it has been working. The self-regulatory organization may choose to attach as Exhibit 5 proposed changes to rule text in place of providing it in Item I and which may otherwise be more easily readable if provided separately from Form 19b-4. Exhibit 5 shall be considered part of the proposed rule change. Exhibit 5 - Proposed Rule Text Add Remove View Partial Amendment Add Remove View If the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those portions of the text of the proposed rule change in which changes are being made if the filing (i.e. partial amendment) is clearly understandable on its face. Such partial amendment shall be clearly identified and marked to show deletions and additions. American LegalNet, Inc. www.FormsWorkFlow.com GENERAL INSTRUCTIONS FOR FORM 19b-4 A. Use of the Form This f
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