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  1. Regulations
    All Titles
  2. title 17
    Commodity and Securities Exchanges
  3. chapter II-i2
    CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
  4. part 249
    PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. subpart I
    Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

Subpart I. Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

  • § 249.801 - Form 15A, for application for registration as a national securities association or affiliated securities association.
  • §§ 249.802-249.803 - §[Reserved]
  • § 249.819 - Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
  • § 249.820 - Form 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)).
  • § 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to of this chapter.
  • § 249.822 - Form 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.
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