SEC Form 19b-4

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DEFINITION of 'SEC Form 19b-4'

A form that is used to inform the SEC of a proposed rule change by a self-regulatory organization or SRO pursuant to Rule 19b-4 under the Securities Exchange Act of 1934. Many such rule changes may take effect upon filing SEC Form 19b-4 with the SEC.

INVESTOPEDIA EXPLAINS 'SEC Form 19b-4'

A self-regulatory organization is a non-governmental body which exercises some degree of regulatory authority over an industry or profession. Examples of SROs in the financial industry would include: the stock exchanges, the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board.

RELATED TERMS
  1. SEC Form 19b-4(e)

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  2. SEC Form 19b-7

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  3. Exchange

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  4. Securities And Exchange Commission ...

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