Form Rule 19b-7 Rule 19b-7 Rule 19b-7

Rule 19b-7 Under the Securities Exchange Act of 1934 and Form 19b-7 under the Securities Exchange Act of 1934

Rule 19b-7 pg-1 form

Rule 19b-7 Under the Securities Exchange Act of 1934 and Form 19b-7 under the Securities Exchange Act of 1934

OMB: 3235-0553

Document [pdf]
Download: pdf | pdf
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

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.

View

Exhibit Sent As Paper Document

Exhibit 3 - Form, Report, or Questionnaire
Add

Remove

View

Exhibit Sent As Paper Document

Exhibit 4 - Proposed Rule Text
Add

Remove

View

Exhibit 5 - Date of Effectiveness of
Proposed Rule Change
CFTC Certification

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.

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.

The self-regulatory ogranization must attach one of the following:

CFTC Request or Determination that
Review of Proposed Rule Change Is Not Necessary

Request for CFTC Approval of Proposed Rule Change

CFTC Certification: Attach a copy of the certification submitted to the CFTC pursuant to section 5c(c) of the
Commodity Exchange Act.

Add

Remove

View

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.


File Typeapplication/pdf
File TitleForm 19b-7
Authornguyenm
File Modified2007-02-23
File Created2007-02-23

© 2024 OMB.report | Privacy Policy