SEC Form 19b-4(e)


DEFINITION of 'SEC Form 19b-4(e)'

A form that is required to be filed by self-regulatory organizations with the SEC every time they wish to list a new derivative securities product pursuant to Rule 19b-4(e) of the Securities Exchange Act of 1934. SEC Form 19b-4(e) must be filed at least five business days after commencement of trading of the new derivative securities product.

BREAKING DOWN 'SEC Form 19b-4(e)'

According to Rule 19b-4(e) of the 1934 act, new derivative securities products means any type of option, warrant, hybrid securities product or any other security with its value based upon the performance of, or interest in, an underlying instrument.

  1. Derivative

    A security with a price that is dependent upon or derived from ...
  2. SEC Form 19b-7

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

    A government commission created by Congress to regulate the securities ...
  4. Self-Regulatory Organization - ...

    A non-governmental organization that has the power to create ...
  5. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
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