Sec form 19b-4(e)

Definition of sec form 19b-4(e)’

Sec form 19b-4(e), the petition of the self-regulatory organization (SRO) by the securities and exchange Commission (sec) every time they want to list a new derivative securities product under rule 19b-4(e) of the securities Act of 1934. Such treatment must take place at least five working days after the start of trading in new derivative securities products.

The penetration of ‘sec form 19b-4(e)’

Pursuant to rule 19b-4(e) of the securities exchange Act, new derivative securities means any type of option, warrant, hybrid product, securities or any other security with its value based on performance or interest as the underlying instrument. The new York stock exchange, the Nasdaq stock market, Chicago Mercantile Exchange, options Exchange and other SRO shall file form sec 19b-4(e) for a new derivative securities for which there is a steady stream.

Example

The form is simple. Here’s a reassessment of what was filed on may 18, 2016:

  • Name of SRO: NASDAQ OMX BX, Inc.
  • Type of the Issuer: open end management investment company
  • Class of new derivative security products: exchange traded Fund
  • Name of the underlying asset: index MSCI USA utilities Diversified multi-factor index is limited
  • The type of the underlying index: broad
  • Ticker: UTLF
  • Market(markets) on which securities comprising the main tool of trading: the Nasdaq stock market predictions
  • Method of calculation: the usual way of transactions in T + 3 (cash)
  • Limits of installation of the goods (if applicable): n/a
  • On the same page the form was signed and dated official “responsible for the form” and sent to second. The list of these forms can be found in the Edgar database of the SEC required public filings.

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