SEC Form 19b-4


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.


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.

  1. SEC Form 19b-4(e)

    A form that is required to be filed by self-regulatory organizations ...
  2. SEC Form 19b-7

    A form that is used to inform the SEC of a proposed rule change ...
  3. Exchange

    A marketplace in which securities, commodities, derivatives and ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. Municipal Securities Rulemaking ...

    A regulating body that creates rules and policies for investment ...
  6. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
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