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17 C.F.R. § 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)).

Title 17: Commodity and Securities Exchanges
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

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§ 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)).

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)).

[63 FR 70967, Dec. 22, 1998]

Editorial Note:  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 on GPO Access.