Form 19B-4E Files Dataset

Form 19B-4E filings provide notification to the SEC when a self-regulatory organization begins trading a new derivative securities product that qualifies for expedited treatment under Rule 19b-4(e) of the Securities Exchange Act of 1934. These summary filings allow SROs such as national securities exchanges to list and trade new derivative products under existing trading rules without submitting a full proposed rule change under Section 19(b). The dataset includes all Form 19B-4E filings submitted to EDGAR from February 2002 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the name of the self-regulatory organization, a description of the new derivative securities product, the date trading commenced, the applicable existing trading rules and listing standards under which the product is listed, and confirmation that the SRO maintains adequate surveillance and sales practice procedures.

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