IC1 - Electronic Filing of Proposed Rule Changes

Appendix 6—Form 19b-4
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GENERAL INSTRUCTIONS FOR FORM 19b-4
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F.

Signature and Filing of the Completed Form
All proposed rule changes, amendments, extensions, and withdrawals of proposed rule

changes shall be filed through the EFFS. All security-based swap submissions, advance notices,
and amendments, extensions, and withdrawals of security-based swap submissions and advance
notices shall be filed to a dedicated email address established by the Commission,
[email protected] for security-based swap submissions and
[email protected] for advance notices. In order to file Form 19b-4 through EFFS,
self-regulatory organizations must request access to the SEC’s External Application Server by
completing a request for an external account user ID and password. Initial requests will be
received by contacting the Trading and Markets Administrator located on our website
(https://www.sec.gov). An email will be sent to the requestor that will provide a link to a secure
website where basic profile information will be requested.
A duly authorized officer of the self-regulatory organization shall electronically sign the
completed Form 19b-4 as indicated on Page 1 of the Form. A registered clearing agency for
which the Commission is not the appropriate regulatory agency also shall file with its appropriate
regulatory agency three copies of the form, one of which shall be manually signed, including
exhibits. A clearing agency that also is a designated clearing agency shall file with the Board of
Governors of the Federal Reserve System (“Federal Reserve”) three copies of any form
containing an advance notice, one of which shall be manually signed, including exhibits;

provided, however, that this requirement may be satisfied instead by providing the copies to the
Federal Reserve in an electronic format as permitted by the Federal Reserve. The Municipal
Securities Rulemaking Board also shall file copies of the form, including exhibits, with the
Federal Reserve, the Comptroller of the Currency, and the Federal Deposit Insurance
Corporation.
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