22 Jul 2025
📊SEC Notice on Proposed Extension of Rule 19b-4(e) Compliance
Proposed Collection; Comment Request; Extension: Rule 19b-4(e)
Summary
The SEC is requesting comments on the proposed collection of information under Rule 19b-4(e), which allows SROs to trade new derivative securities products with specific reporting requirements. The regulation aims to maintain accurate records of such products and support SRO compliance during inspections.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The content outlines compliance requirements under Rule 19b-4(e) for SROs to report new derivative securities products. Businesses must adhere to these regulations to avoid penalties and ensure operational legitimacy. The financial burden associated with compliance is significant, impacting business costs.