Filing the SEC form 19b-4 is an essential requirement for self-regulatory organizations (SROs) seeking to propose rule changes to their bylaws, rules, and regulations.

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Filing the SEC form 19b-4 is an essential requirement for self-regulatory organizations (SROs) seeking to propose rule changes to their bylaws, rules, and regulations.

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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.
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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Overview of what the S.E.C 19b-4 form is