Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) {19b-7} | Pdf Fpdf Doc Docx | Official Federal Forms

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Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) {19b-7} | Pdf Fpdf Doc Docx | Official Federal Forms

Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) {19b-7}

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OMB APPROVAL OMB Number: 3235-0553 Expires: ... September 30, 2017 Estimated average burden hours per response............ .13.25 Page 1 of SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 19b-7 Select SRO File No. SR Amendment No. - Proposed Rule Change by Pursuant to Rule 19b-7 under the Securities Exchange Act of 1934 Initial Amendment Withdrawal Exhibit 2 Sent As Paper Document Exhibit 3 Sent As Paper Document Description Provide a brief description of the proposed rule change (limit 250 characters). 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 proposed rule change. First Name Title E-mail Telephone Fax Last Name SRO Governing Body Action Describe action on the proposed rule change taken by the members or board of directors or other governing body of the SRO (limit 250 characters). 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 officer. Date 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. (Title) Digitally Sign and Lock Form American LegalNet, Inc. www.FormsWorkFlow.com SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 For complete Form 19b-7 instructions please refer to the EFFS website. Exhibit 1- Notice of Proposed Rule Change 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. The Notice section of this Form 19b-7 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 and CFTC rules must include the corresponding cite to the Code of Federal Regulations in a footnote. All references to Securities Exchange Act Releases and Commodities 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) Exhibit 2- Notices, Written Comments, Transcripts, Other Communications Add Remove View Copies of notices, written comments, transcripts, other communications. If such documents cannot be filed electronically in accordance with Instruction E, they shall be filed in accordance with Instruction F. Exhibit Sent As Paper Document Exhibit 3 - Form, Report, or Questionnaire Add Remove View Exhibit Sent As Paper Document 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. If such documents cannot be filed electronically in accordance with Instruction E, they shall be filed in accordance with Instruction F. Exhibit 4 - Proposed Rule Text Add Remove View The self-regulatory organization must attach as Exhibit 4 proposed changes to rule text. Exhibit 4 shall be considered part of the proposed rule change. Exhibit 5 - Date of Effectiveness of Proposed Rule Change CFTC Certification The self-regulatory ogranization must attach one of the following: CFTC Request that Review of Proposed Rule Change is not Necessary Request for CFTC Approval of Proposed Rule Change CFTC Determination that Review of Proposed Rule Change is not Necessary Indication of CFTC Approval of Proposed Rule Change Exhibit Sent As Paper Document 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 staff'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-7 A. Use of the Form All self-regulatory organization proposed rule changes submitted pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 ("Act"), shall be filed electronically through the Electronic Form Filing System ("EFFS"), a secure Web site operated by the Commission. This form shall be used for filings of proposed rule changes by all self-regulatory organizations pursuant to Section 19(b)(7) of the Act. National securities exchanges registered pursuant to Section 6(g) of the Act and limited purpose national securities associations registered pursuant to Section 15A(k) of the Act are self-regulatory organizations for purposes of this form. 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 and for the Commission to determine whether abrogation of the proposal is appropriate because it unduly burdens competition or efficiency, conflicts with the securities laws, or is inconsistent with the public interest and the protection of investors. The self-regulatory organization must provide all the information called for by the form, including the exhibits, and must present the information in a clear and comprehensible manner. The proposed rule change shall be considered filed with the Commission on the date on which the Commission receives the proposed rule change if the filing complies with all requirements of this form. Any filing that does not comply with the requirements of this form may be returned to the self-regulatory organization at any time before the issuance of the notice of filing. Any filing so ret

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