
Proposed Rule Change by Boston Stock Exchange Pursuant to Rule 19b 4 under the Securities Exchange Act of 1934 Initial Amendment Form
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People also ask
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What is Section 19 B of the Securities and Exchange Act of 1934?
Section 19(b) authorizes the Commission to promulgate rules regarding "proposed rule changes" of SROs.
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What is the Securities Exchange Act of 1934 Rule 10b5 1?
Rule 10b5-1 allows company insiders to set up a predetermined plan to sell company stocks in ance with insider trading laws. The price, amount, and sales dates must be specified in advance and determined by a formula or metrics.
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What is the rule 17a 4 B 4 of the Securities Exchange Act of 1934?
Exchange Act Rule 17a-4(b)(4) requires that a broker-dealer retain originals of all communications received and copies of all communications sent by the broker-dealer relating to its "business as such" for at least three years, the first two years in an easily accessible place.
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What is the purpose of the Securities Exchange Act of 1934?
The purpose of the requirements of the Securities Exchange Act of 1934 is to ensure an environment of fairness and investor confidence. The SEA created the Securities and Exchange Commission (SEC), which regulates securities, markets, financial disclosures, and the conduct of financial professionals.
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What is the rule 17a 4 B 4 of the Securities Exchange Act of 1934?
Exchange Act Rule 17a-4(b)(4) requires that a broker-dealer retain originals of all communications received and copies of all communications sent by the broker-dealer relating to its "business as such" for at least three years, the first two years in an easily accessible place.
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What is the difference between s1 and 19b-4?
What Is the Difference Between Form 19b-4 Filings and S-1 Filings? Besides the 19b-4 filings, the SEC also requires self-regulated organizations (SROs) to file Form S-1 before a spot crypto ETF can start trading. The 19b-4 is a form filed with the SEC when there is a proposed rule change.
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What is form 19b-4?
SEC Form 19b-4 is used by covered self-regulatory organizations (SROs) to record a rule change with the SEC. Many stock exchanges and financial regulatory bodies are SROs, and so their bylaws, rules, and regulations must be filed with the SEC for public recordkeeping.
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What is Rule 19b 4 E under the Securities Exchange Act of 1934?
Rule 19b-4(e) requires every self-regulatory organization (SRO) seeking to rely on Rule 19b-4(e) to file Form 19b-4(e) with the Securities and Exchange Commission (Commission or SEC) at least 5 business days after commencement of trading a new derivative securities product that is not deemed to be a proposed rule ...
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