SEC Form 19b-4(e)

Dictionary Says

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.

Investopedia Says

Investopedia explains '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.

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