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F 11 File No. SR - 2008 - 010 Amendment No. Proposed Rule Change by BATS Exchange Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 Initial Amendment Withdrawal Section 19(b)(3)(A) Section 19(b)(2) Section 19(b)(3)(B) Rule Pilot 19b-4(f)(1) Extension of Time Period for Commission Action Date Expires Exhibit 2 Sent As Paper Document 19b-4(f)(4) 19b-4(f)(2) 19b-4(f)(5) 19b-4(f)(3) 19b-4(f)(6) Exhibit 3 Sent As Paper Document Description Provide a brief descript.

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How to fill out the 19b-4(f)(4) online

Filling out the 19b-4(f)(4) form online can be a straightforward process with guided steps. This form is essential for proposing rule changes under the Securities Exchange Act of 1934, enabling self-regulatory organizations to submit necessary information in a structured manner.

Follow the steps to complete the 19b-4(f)(4) form efficiently.

  1. Click the ‘Get Form’ button to obtain the form and open it in your preferred editor.
  2. Begin by providing a clear, concise description of the proposed rule change, limiting your response to 250 characters.
  3. Next, enter the contact information of the designated representative. Include the individual's first and last name, email address, and telephone number for any inquiries related to the proposal.
  4. In the signature section, ensure that the document is signed digitally by the authorized officer. This signature acts as a legally binding affirmation of the filing.
  5. Proceed to attach any necessary exhibits as required. Exhibits may include previous notices, comments, or supporting documents pertinent to the proposed change.
  6. Once you have completed all fields, review the entries for accuracy and clarity. Ensure compliance with all guidelines for federal publication and electronic filing.
  7. Finally, save your changes and consider downloading, printing, or sharing the form. Make sure to confirm that all information is correct before final submission.

Start filling out your 19b-4(f)(4) form online today to ensure a smooth submission process.

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Form 19b-4
The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the. Act...
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Section 19(g) of the Exchange Act obligates registered exchanges to comply with their own rules and to enforce compliance with their own rules by their members and persons associated with their members.

Section 19(b)(1) [ 15 U.S.C. 78s(b)(1).] of the Act requires an SRO to file with the Commission its proposed rule changes accompanied by a concise general statement of the basis and purpose of the proposed rule change.

Section 16(b) defines a purchase and sale, or sale and purchase, within six months' time as a short-swing transaction. Congress included the provision as part of the original Exchange Act in an effort to discourage insider trading.

Section 10(b) of the Exchange Act and Rule 10b-5 prohibit material misrepresentations and misleading omissions in connection with the purchase or sale of securities. To prove a violation of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, the Commission must prove that the defendants acted with scienter.

Section 19(b) authorizes the Commission to promulgate rules regarding "proposed rule changes" of SROs. Section 23(a), 15 U.S.C.

SEC Form 19b-4 is used by covered self-regulatory organizations (SROs) to record a rule change with the SEC. Many stock exchanges and financial regulatory bodies are SROs, and so their bylaws, rules, and regulations must be filed with the SEC for public recordkeeping.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232