Notice
22 Jul 2025
compliance, reporting requirements, securities regulation, financial burden, derivative products
📊SEC Notice on Proposed Extension of Rule 19b-4(e) Compliance
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.
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