Régulation des marchés · 07/06/19941 min de lecture
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
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Résumé
The Securities and Exchange Commission (``Commission'') is proposing to amend Rule 19b-4 and Form 19b-4, the rule and form that set forth the procedures for the filing by self-regulatory organizations (``SROs'') of proposed rule changes under the Securities Exchange Act of 1934. The amendments would expand the scope of those proposed rule changes that may become effective under Section 19(b)(3)(A) of the Act. The proposed amendments are intended to expedite and streamline the process through which proposed rule changes are filed and become effective. The Commission also is proposing to amend the rules and forms applicable to the annual filing of amendments to registration statements of national securities exchanges, securities associations, and reports of the Municipal Securities Rulemaking Board, to streamline those requirements.