Get Form 19b -4(e)

Filling out FORM 19b -4(e) is essential for self-regulatory organizations to report new derivative securities products. This guide provides you with clear, step-by-step instructions to help you complete the form online.

Follow the steps to complete the form effectively.

1. Click 'Get Form' button to download the form and open it in your preferred editor.
2. In Part I, provide the name of the self-regulatory organization that is listing the new derivative securities product. Ensure accuracy for identification purposes.
3. Indicate the type of issuer for the new derivative securities product, such as clearinghouse, broker-dealer, or corporation.
4. Specify the class of the new derivative securities product. This could relate to equity, debt, or another classification.
5. For the underlying instrument, state whether it is an index, and clarify if it is broad-based or narrow-based if applicable.
6. Input the ticker symbol(s) assigned to the new derivative securities product, which is necessary for market identification.
7. List the market or markets where the securities comprising the underlying instrument are traded.
8. Outline the settlement methodology for the new derivative securities product, ensuring to include any specific processes relevant to settlements.
9. If applicable, provide details regarding the position limits of the new derivative securities product.
10. In Part II, fill in the name of the official responsible for the form, their title, and contact number to maintain accountability.
11. Sign the form manually and include the date to confirm the authenticity of the submission.
12. Once completed, review the form for accuracy, save your changes, and you can then download, print, or share it as necessary.

Complete FORM 19b -4(e) online to ensure compliance with SEC regulations.