For as long as the broker or dealer is registered plus fifty years. Paper copies are available. The Securities Information Center retains these files permanently. This form is used by exchanges and the National Association of Securities Dealers to file all proposed changes to their rules with the Commission. Form 19b-4 provides a description of the proposed rule change, including statements regarding the terms of the proposed rule change, the purpose of the proposed rule change, and the statutory basis for the proposed rule change.
Filings are available on both microfiche and paper.
For as long as the SRO is registered plus six years. This form is used to apply for registration as an investment adviser or to amend a registration. It consists of two parts. Part I contains general and personal information about the applicant. Part II contains information relating to the nature of the applicant's business, including basic operations, services offered, fees charged, types of clients advised, educational and business backgrounds of associates and other business activities of the applicant.