SEC Form 19b-7

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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 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.

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