Federal (United States) · Regulations
Subpart I — Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
5 sections
5 sections
- 17 C.F.R. § 249.801Form 15A, for application for registration as a national securities association or affiliated securities association.
- 17 C.F.R. § 249.819Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
- 17 C.F.R. § 249.820Form 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)).
- 17 C.F.R. § 249.821Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
- 17 C.F.R. § 249.822Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.