Investopedia

Continue to Site »

SEC Form 19b-7

Filed Under » , , , , , , ,
Dictionary Says

Definition of 'SEC Form 19b-7'

A form that is used to inform the SEC of a proposed rule change by a self-regulatory organization (SRO) or SRO pursuant to Rule 19b-7 under the Securities Exchange Act of 1934. Many such rule changes may take effect upon filing SEC Form 19b-7 with the SEC.
Investopedia Says

Investopedia explains 'SEC Form 19b-7'

A self-regulatory organization or SRO is a non-governmental body which exercises some 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.

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.

  2. Investigating The Securities Police

    Learn about the history of FINRA and how this organization protects investors.

  3. Getting To Know The Stock Exchanges

    Here are the answers to all the questions you have about stock exchanges but are too afraid to ask!

  4. Austerity: When The Government Tightens Its Belt

    When a government tightens its belt in tough economic times the entire nation feels the squeeze.

  5. Why It's Important To Regulate Foreign Exchange

    In an increasingly globalized economy, the significance of the foreign exchange marketplace cannot be underestimated.

  6. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  7. Zynga's New Venture Is A Major Gamble

    The current state of online gambling in the U.S. makes Zynga’s move into the market a very risky one.

  8. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.

  9. Approved: Paying Online Sales Tax

    States will now be allowed to collect sales taxes on purchases made from Internet-based retailers even if the retailer has no physical presence in that state.

  10. Sequestration: What Will It Do And What Should You Do?

    Learn about the sequester, and possible ways to play it.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Cost-Push Inflation

    A phenomenon in which the general price levels rise (inflation) due to increases in the cost of wages and raw materials.

  2. Happiness Economics

    The formal academic study of the relationship between individual satisfaction and economic issues, such as employment and wealth.

  3. Affluenza

    A social condition arising from the desire to be more wealthy, successful or to "keep up with the Joneses." Affluenza is symptomatic of a culture that holds up financial success as one of the highest achievements.

  4. Icarus Factor

    The term Icarus factor describes a situation where managers or executives initiate an overly ambitious project which then fails. Fueled by excitement for the project, the executives are unable to reign in their misguided enthusiasm before it is too late to avoid the failure.

  5. Angelina Jolie Stock Index

    An index made up of a selection of stocks from companies associated with actress Angela Jolie.

  6. Consequential Loss

    The amount of loss incurred as a result of being unable to use business property or equipment.
Trading Center