SEC Form 19b-4: What It Is, How It Works, Examples

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SEC Form 19b-4: What It Is, How It Works, Examples

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06

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22

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2022

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12

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00

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https://www.investopedia.com/terms/s/sec-form-19b-4.asp

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Self-regulatory organizations (SROs) are required to file SEC Form 19b-4 with the SEC before making any changes to its rules, specifically with regard to trading rules.

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SEC Form 19b-4 is a form that is used to inform the Securities and Exchange Commission (SEC) of a proposed rule change by a self-regulatory organization (SRO) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934.1

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