The form serves as a formal request for the SEC's approval or disapproval of proposed rule changes, ensuring compliance with federal securities laws.

  • Quote

Name

The form serves as a formal request for the SEC's approval or disapproval of proposed rule changes, ensuring compliance with federal securities laws.

Types

Quote

Source

Navigating the SEC: Understanding Form 19b 4 Requirements

Source URL

https://fastercapital.com/content/Navigating-the-SEC--Understanding-Form-19b-4-Requirements.html

Referenced by

The purpose of Form 19b-4 is to allow self-regulatory organizations (SROs) to propose changes to their rules, policies, and procedures to the SEC.

Crypto

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