DEFINITION of 'SEC Form 19b-4'

A form that is used to inform the SEC of a proposed rule change by a self-regulatory organization or SRO pursuant to Rule 19b-4 under the Securities Exchange Act of 1934. Many such rule changes may take effect upon filing SEC Form 19b-4 with the SEC.

BREAKING DOWN 'SEC Form 19b-4'

A self-regulatory organization is a non-governmental body which exercises some degree of 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.

RELATED TERMS
  1. SEC Form PILOT

    A form that is filed with the SEC by self-regulatory organizations ...
  2. 500 Investor Rule

    A SEC stipulation requiring a company that exceeds 500 individual ...
  3. Securities And Exchange Commission ...

    The Securities and Exchange Commission (SEC) is a U.S. government ...
  4. SEC Form 15

    SEC Form 15 is a voluntary filing with the SEC by publicly-traded ...
  5. SEC Form S-2

    A form from the Securities and Exchange Commission (SEC) that ...
  6. Self-Regulatory Organization - ...

    A non-governmental organization that has the power to create ...
Related Articles
  1. Insights

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  2. Financial Advisor

    How To Get A Job At The SEC

    Want to make a good living taking on those renegade trading rascals on Wall Street? Here are some tips to help you get in the door at the SEC.
  3. Investing

    An Overview of the SEC's New Mutual Fund Rules

    The SEC has released new liquidity rules for mutual funds aimed at reducing risk.
  4. Financial Advisor

    A Review of SEC Enforcement Cases in 2016

    The SEC set a new record in 2016 for the number of enforcement actions it brought.
  5. Insights

    The SEC: A Brief History Of Regulation

    The SEC has continued to make the market a safer place and to learn from and adapt to new scandals and crises.
  6. Financial Advisor

    What to Know About the SEC's Third-Party Exam Rule

    The SEC has given a proposal to board members that calls to outsource the advisor exam process to a third party, but the issue currently has no timeline.
  7. Tech

    SEC Targets Cryptocurrency Hedge Funds In Probe

    For the first time, hedge funds have been drawn into SEC examinations regarding cryptocurrencies.
  8. Investing

    Understanding The Top SEC filing forms

    It's easier than ever to keep track of your SEC filing status online.
  9. Investing

    Using Public SEC Filings To Analyze Companies

    Reports from the Securities and Exchange Commission provide investors with an edge in determining the investment value of companies. Learn what to look for in these financial reports.
  10. Financial Advisor

    SEC Derivatives Rule May Limit Diversification

    The SEC has proposed rules that will limit the use of derivatives by fund managers. Critics believe the rules will impede funds' ability to diversify.
RELATED FAQS
  1. How are asset management firms regulated?

    Find out how the asset management industry is regulated and how those regulations fit within the broader scope of financial ... Read Answer >>
  2. What kinds of restrictions does the SEC put on short selling?

    Learn about the rules and regulations on short selling enforced by the U.S. Securities and Exchange Commission, or SEC, including ... Read Answer >>
  3. Should mutual funds be subject to more regulation?

    Understand whether mutual funds need stricter regulation. Learn what types of current and future regulations have been put ... Read Answer >>
  4. What is the difference between the rule of 70 and the rule of 72?

    Find out more about the rule of 70 and the rule of 72, what the two rules measure and the main difference between them. Read Answer >>
  5. How does the privatization of a publicly traded company work?

    Find out how a publicly traded company can privatize and remove itself from listed stock exchanges and out from under the ... Read Answer >>
  6. How are junk bonds regulated?

    Learn how junk bonds are regulated by the SEC and FINRA, and understand the anti-fraud provisions that apply to securities ... Read Answer >>
Hot Definitions
  1. Financial Industry Regulatory Authority - FINRA

    A regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's ...
  2. Initial Public Offering - IPO

    The first sale of stock by a private company to the public. IPOs are often issued by companies seeking the capital to expand ...
  3. Cost of Goods Sold - COGS

    Cost of goods sold (COGS) is the direct costs attributable to the production of the goods sold in a company.
  4. Profit and Loss Statement (P&L)

    A financial statement that summarizes the revenues, costs and expenses incurred during a specified period of time, usually ...
  5. Monte Carlo Simulation

    Monte Carlo simulations are used to model the probability of different outcomes in a process that cannot easily be predicted ...
  6. Price Elasticity of Demand

    Price elasticity of demand is a measure of the change in the quantity demanded or purchased of a product in relation to its ...
Trading Center