Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))

OMB 3235-0504

OMB 3235-0504

Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of 1934.

The latest form for Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e)) expires 2022-10-31 and can be found here.


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