Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) {19b-4} | Pdf Fpdf Doc Docx | Official Federal Forms
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Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) {19b-4} | Pdf Fpdf Doc Docx | Official Federal Forms

Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) {19b-4}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

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OMBAPPROVALOMB Number:...................3235b 0045 Expires:..... November 30, 2019 Estimatedaverageburden hoursperresponse:..............38 Page1of SECURITIESANDEXCHANGECOMMISSION WASHINGTON,D.C.20549 Form19b 4 FileNo.SR AmendmentNo. Filingby SelectSRO PursuanttoRule19b 4undertheSecuritiesExchangeActof1934 Initial Amendment Withdrawal Section19(b)(2) Section19(b)(3)(A) Rule Section19(b)(3)(B) Pilot ExtensionofTimePeriodfor CommissionAction DateExpires 19b 4(f)(1)19b 4(f)(4) 19b 4(f)(2)19b 4(f)(5) 19b 4(f)(3)19b 4(f)(6) NoticeofproposedchangepursuanttothePayment,Clearingand SettlementActof2010 Section806(e)(1) Section806(e)(2) Exhibit2SentAsPaperDocument Exhibit3SentAsPaperDocument Security BasedSwapSubmissionpursuanttothe SecuritiesExchangeActof1934 Section3C(b)(2) Description Provideabriefdescriptionoftheaction(limit250characters). ContactInformation Providethename,telephonenumberande mailaddressofthepersononthestaffoftheself regulatoryorganization preparedtorespondtoquestionsandcommentsontheaction. FirstName Title E mail Telephone Fax LastName Signature PursuanttotherequirementsoftheSecuritiesExchangeActof1934, Date By (Name) (Title) NOTE:Clickingthebuttonatrightwilldigitallysignandlockthisform. Adigitalsignatureisaslegallybindingasaphysicalsignature,and oncesigned,thisformcannotbechanged. DigitallySignandLockForm SEC 1832 (1/13) American LegalNet, Inc. www.FormsWorkFlow.com SECURITIESANDEXCHANGECOMMISSION WASHINGTON,D.C.20549 ForcompleteForm19b 4instructionspleaserefertotheEFFSwebsite. Form19b 4Information Add Remove View Theself regulatoryorganizationmustprovideallrequiredinformation,presentedinaclearand comprehensiblemanner,toenablethepublictoprovidemeaningfulcommentontheproposalandfor theCommissiontodeterminewhethertheproposalisconsistentwiththeActandapplicablerulesand regulationsundertheAct. Exhibit1 NoticeofProposedRuleChange TheNoticesectionofthisForm19b 4mustcomplywiththeguidelinesforpublicationinthe Add Remove View requirementsintheFederalRegisterDocumentDraftingHandbook,October1998Revision.Forexample, allreferencestothefederalsecuritieslawsmustincludethecorrespondingcitetotheUnitedStatesCode inafootnote.AllreferencestoSECrulesmustincludethecorrespondingcitetotheCodeofFederal Regulationsinafootnote.AllreferencestoSecuritiesExchangeActReleasesmustincludetherelease number,releasedate,FederalRegistercite, (e.g.,SR [SRO] xx xx).Amaterialfailuretocomplywiththeseguidelineswillresultintheproposedrule Exhibit1A NoticeofProposedRule Change,Security BasedSwap Submission,orAdvanceNoticeby ClearingAgencies TheNoticesectionofthisForm19b 4mustcomplywiththeguidelinesforpublicationinthe Add Remove View requirementsintheFederalRegisterDocumentDraftingHandbook,October1998Revision.Forexample, allreferencestothefederalsecuritieslawsmustincludethecorrespondingcitetotheUnitedStatesCode inafootnote.AllreferencestoSECrulesmustincludethecorrespondingcitetotheCodeofFederal Regulationsinafootnote.AllreferencestoSecuritiesExchangeActReleasesmustincludetherelease number,releasedate,FederalRegistercite, (e.g.,SR [SRO] xx xx).Amaterialfailuretocomplywiththeseguidelineswillresultintheproposedrule Exhibit2 Notices,WrittenComments, Transcripts,OtherCommunications Copiesofnotices,writtencomments,transcripts,othercommunications.Ifsuchdocumentscannotbe InstructionG. Add Remove View ExhibitSentAsPaperDocument Exhibit3 Form,Report,orQuestionnaire Copiesofanyform,report,orquestionnairethattheself regulatoryorganizationproposestouseto helpimplementoroperatetheproposedrulechange,orthatisreferredtobytheproposedrulechange. Add Remove View ExhibitSentAsPaperDocument Exhibit4 MarkedCopies Thefulltextshallbemarked,inanyconvenientmanner,toindicateadditionstoanddeletionsfromthe changesmadefromthetextoftherulewithwhichithasbeenworking. Add Remove View Exhibit5 ProposedRuleText Theself regulatoryorganizationmaychoosetoattachasExhibit5proposedchangestoruletextin placeofprovidingitinItemIandwhichmayotherwisebemoreeasilyreadableifprovidedseparately fromForm19b 4.Exhibit5shallbeconsideredpartoftheproposedrulechange. Add Remove View PartialAmendment Add Remove View Iftheself regulatoryorganizationisamendingonlypartofthetextofalengthyproposedrulechange,it American LegalNet, Inc. www.FormsWorkFlow.com GENERAL INSTRUCTIONS FOR FORM 19b-4 1 A. Use of the Form This form shall be used for all self-regulatory organization filings of proposed rule changes pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act") (except filings with respect to proposed rule changes by self-regulatory organizations submitted pursuant to Section 19(b)(7) 2 of the Act), security-based swap submissions, and advance notices. National securities exchanges, registered securities associations, registered clearing agencies, and the Municipal Securities Rulemaking Board are self-regulatory organizations for purposes of this form. All proposed rule changes (except filings with respect to proposed rule changes by selfregulatory organizations submitted pursuant to Section 19(b)(7) of the Act) shall be filed in an electronic format through the Electronic Form 19b-4 Filing System ("EFFS"), a secure website operated by the Commission. All security-based swap submissions and advance notices shall be filed by submitting Form 19b-4 to a dedicated email address, SBSwapsSubmissions@sec.gov for security-based swap submissions and AdvanceNoticeFilings@sec.gov for advance notices. An electronic version of Form 19b-4 is available in EFFS. A PDF version of the Form is also available on SEC website. B. Need for Careful Preparation of the Completed Form, Including Exhibits This form, including the exhibits, is intended to elicit information necessary for the public to provide meaningful comment on the proposed rule change, security-based swap submission, or advance notice and for the Commission to determine whether the proposed rule change, security-based swap submission, or advance notice is consistent with the requirements of 1 2 Effective June 10, 2013. Because Section 19(b)(7)(C) of the Act states that filings abrogated pursuant to this Section should be re-filed pursuant to paragraph (b)(1) of Section 19 of the Act, SROs are required to file electronically such proposed rule changes in accordance with this form. American LegalNet, Inc. www.FormsWorkFlow.com the Act and the rules and regulations thereunder or the Payment, Clearing and Settlement Supervision Act and the rules and regulations thereunder, in each case as applicable to the selfregulato

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