25 Sep 2025
📈SEC Requests OMB Extension for Rule 19b-4(e) Compliance
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 19b-4(e)
Summary
The Securities and Exchange Commission (SEC) is submitting a request to the Office of Management and Budget (OMB) for an extension regarding the information collection activities related to Rule 19b-4(e). This rule allows self-regulatory organizations to list new derivative securities products without prior approval, but requires public reporting of relevant information to maintain accurate records.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The content addresses compliance and regulatory requirements for self-regulatory organizations (SROs) regarding the reporting of new derivative securities products. This mandates operational changes for SROs, which could impact their business models and the associated costs of compliance.