Form 19B-4 Files Dataset

Form 19B-4 filings are submitted by self-regulatory organizations (SROs) to notify the SEC of proposed rule changes under Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. SROs such as national securities exchanges, registered clearing agencies, and FINRA use the form to describe and justify amendments to their rules, supporting fair and orderly markets, investor protection, and oversight procedures. The dataset includes all Form 19B-4 and Form 19B-4/A filings submitted to EDGAR from July 2007 to present. Form 19B-4/A filings represent amendments to previously filed proposed rule changes. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains a statement of the terms of substance of the proposed rule change, the SRO's statutory basis and purpose for the change, a discussion of the impact on competition, a summary of comments received from members, and the text of the proposed rule along with any supporting exhibits.

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