Code of Federal Regulations > Title 17 > Chapter II > Part 249 > 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

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

§ 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.