Rule 19b-4(e) under the Securities Exchange Act of 1934

Rule 19b-4(e), 17 CFR 240.19b-4(e), permits a self-regulatory organization (SRO) to list and trade a new derivative securities product without submitting a proposed rule change pursuant to Section 19(b) of the Securities Exchange Act of 1934, so long as such product meets the criteria of Rule 19b-4. Rule 19b-4(e) requires an SRO to publicly report certain information on its internet website using the most recent versions of the XML schema and the associated PDF renderer as published on the Commission's website for each new derivative securities product within five business days of beginning to trade such new derivative securities product. The collection of information is a third-party disclosure requirement and is used to maintain an accurate record of all new derivative securities products traded on the SROs.

The latest form for Rule 19b-4(e) under the Securities Exchange Act of 1934 expires 2028-12-31 and can be found here.

Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight