SEC Form 19b-7

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.



comments powered by Disqus
Hot Definitions
  1. Mortgage Modification

    A permanent change in a homeowner's home loan terms that makes the monthly loan payments affordable.
  2. Leveraged Benefits

    The use – by a business owner or professional practitioner – of their company’s receivables or current income to secure a loan whose proceeds then indirectly fund a retirement plan.
  3. Direct Consolidation Loan

    A loan that combines two or more federal education loans into a single loan. A Direct Consolidation Loan allows the borrower to make a single monthly payment. The loan is facilitated by the U.S. Department of Education and does not require borrowers to pay an application fee.
  4. Through Fund

    A type of target-date retirement fund whose asset allocation includes higher risk and potentially higher return investments "through" the fund's target date and beyond.
  5. Last In, First Out - LIFO

    An asset-management and valuation method that assumes that assets produced or acquired last are the ones that are used, sold or disposed of first.
  6. American Dream

    The belief that anyone, regardless of where they were born or what class they were born into, can attain their own version of success in a society where upward mobility is possible for everyone. The American dream is achieved through sacrifice, risk-taking and hard work, not by chance.
Trading Center