DEFINITION of SEC Form 19b-4(e)

SEC Form 19b-4(e) is a filing by self-regulatory organizations (SRO) with the Securities and Exchange Commission (SEC) every time they wish to list a new derivative securities product pursuant to Rule 19b-4(e) of the Securities Exchange Act of 1934. The filing must take place at least five business days after commencement of trading of the new derivative securities product.

BREAKING DOWN SEC Form 19b-4(e)

According to Rule 19b-4(e) of the Exchange Act, new derivative securities products means any type of option, warrant, hybrid securities product or any other security with its value based upon the performance of, or interest in, an underlying instrument. The New York Stock Exchange, Nasdaq Stock Market, Chicago Mercantile Exchange, Cboe Exchange and other SROs must submit SEC Form 19b-4(e) for new derivative securities, of which there is a steady stream.

Example 

The form is simple. Here's a recast of one that was filed on May 18, 2016: 

  1. Name of SRO: Nasdaq OMX BX, Inc.
  2. Type of Issuer: Open End Management Investment Company
  3. Class of New Derivatives Security Product: Exchange Traded Fund
  4. Name of Underlying Instrument: MSCI USA Utilities Diversified Multiple-Factor Capped Index
  5. Type of Underlying Index: Broad-based
  6. Ticker Symbol: UTLF
  7. Market(s) Upon Which Securities Comprising Underlying Instrument Trades: Nasdaq Stock Market, NYSE
  8. Settlement Methodology: Regular way trades settle on T + 3 (cash settled)
  9. Position Limits of Product (if applicable): N/A

The one-page form was signed and dated by the "Official Responsible for Form" and sent to the SEC. A listing of all such forms can be found in EDGAR, SEC's public database of required filings.