Code of Federal Regulations · Section
§ 249.820 — Form 19b-4(e) For The Listing And Trading Of New Derivative Securities Products By Self-regulatory Organizations That Are Not Deemed Proposed Rule Changes Pursuant To Rule 19b-4(e)(§ 240.19b-4(e))
17 C.F.R. § 249.820
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This form shall be used by all self-regulatory organizations, as defined in section 3(a)(26) of the Act, to notify the Commission of a self-regulatory organization's listing and trading of a new derivative securities product that is not deemed a proposed rule change, pursuant to Rule 19b-4(e) under the Act (17 CFR 240.19b-4(e)).
For Federal Register citations affecting Form 19b-4(e), see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Authorizing Statute
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Definitions and application15 U.S.C. § 78c
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Periodical and other reports15 U.S.C. § 78m
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Operations of designated financial market utilities12 U.S.C. § 5465
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Findings and purposes12 U.S.C. § 5461
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Short title15 U.S.C. § 78a