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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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1934 FAQ
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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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Section 19(b) authorizes the Commission to promulgate rules regarding "proposed rule changes" of SROs. Section 23(a), 15 U.S.C.
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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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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.
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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.
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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.
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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.
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