Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen

Rule 19b-4, 17 CFR 240.19b-1, under Section 19b-1 of the Securities Exchange Act of 1934 (Exchange Act) and requires each self-regulatory organization (SRO) to file with the Securities and Exchange Commission (Commission) on Form 19b-4 any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. The rule is designed to provide the Commission with the information to determine whether a proposed rule change submitted by an SRO is consistent with the Exchange Act and the rules thereunder, and to provide information sufficient to elicit meaningful public comment on each proposal. Form 19b-4 also provides the Commission with information, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act), to determine whether a security-based swap is required to be cleared, and whether an SRO’s advance notice of a proposed rule change could materially affect the nature or level of risk presented by the SRO. Form 19b-4 is used for all SRO filings of proposed rule changes, security-based swap submissions, and advance notices.

The latest form for Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen expires 2029-04-30 and can be found here.

IC1 - Electronic Filing of Proposed Rule Changes

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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