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SEC Form 19b-4


Book Publication Date: Apr 2011
Description: SEC Form 19b-4 is to be used by clearing agencies in reporting securities-based swap submissions to the SEC
Type: Other Document Templates
PLI Item #: 46942
Practice Area: Banking and finance, Capital markets, Enforcement (Securities and other financial products), Financial markets, International law, Regulation and compliance (Securities and other financial products), Securities and other financial products

Official ID: Form 19b-4
Keywords: SEC; securities-based swaps; exchange act; clearing agencies; filing requirements

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