Form 19b-4(e) new derivative securities products
Exchange notices under Rule 19b-4(e) that they began trading a new derivative securities product, such as an ETF or structured note.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2219B-4E%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"19B-4E"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 19B-4E?
Rule 19b-4(e) lets an exchange list and trade a new derivative securities product without filing a proposed rule change, as long as the product meets the exchange's existing listing standards. Within five business days after trading begins, the exchange files Form 19b-4(e) with the SEC.
On EDGAR these are mostly paper submissions recorded with the exchange as filer, so the index tells you which exchange listed a product and when, while the document itself is a scanned image.
National securities exchanges such as Nasdaq, NYSE Arca and Cboe.
Within five business days after the exchange begins trading the new product.
Filings per year
Every 19B-4E filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Exchange | The self-regulatory organization filing the notice. |
| Product | The new derivative securities product and its class. |
| Trading start | Date trading began. |
| Underlying | The index, instrument or asset the product is based on. |
Get 19B-4E data with SecFeed
Search the filings with formType:"19B-4E", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
Text Search APISearch every word of every EDGAR filing and exhibit since 2001. Exact phrases, form type, CIK and date filters, results as JSON.
FINRA and exchangesSRO Rule FilingsRule filings by self regulatory organizations (FINRA, MSRB, DTC, exchanges, clearing agencies) with release and file numbers and documents.
Latest 19B-4E filings
| Company | Form | Filed | |
|---|---|---|---|
| Nasdaq Stock Market LLC | 19B-4E | 2025-08-29 | EDGAR ↗ |
| Nasdaq Stock Market LLC | 19B-4E | 2025-08-29 | EDGAR ↗ |
| Nasdaq Stock Market LLC | 19B-4E | 2025-08-29 | EDGAR ↗ |
| Nasdaq Stock Market LLC | 19B-4E | 2025-08-29 | EDGAR ↗ |
| Nasdaq Stock Market LLC | 19B-4E | 2025-08-29 | EDGAR ↗ |
| Cboe BYX Exchange, Inc. | 19B-4E | 2025-08-26 | EDGAR ↗ |
| Cboe EDGX Exchange, Inc. | 19B-4E | 2025-08-26 | EDGAR ↗ |
| Cboe EDGA Exchange, Inc. | 19B-4E | 2025-08-26 | EDGAR ↗ |
Use cases
- Count new ETF and ETN listings by exchange and year
- Study the volume of derivative product launches over time
Related forms
Certifications by NYSE Arca approving securities for listing and registration under Exchange Act Section 12(d).
CERTPACPacific Exchange certificationCertifications by the Pacific Exchange (later NYSE Arca) approving securities for listing and registration under Section 12(d).
FAQ
Why are many 19b-4(e) filings images?
Exchanges historically submitted them on paper, and EDGAR shows a placeholder that references the SEC document control number.
Is this the same as a 19b-4 rule filing?
No. A 19b-4 is a proposed rule change. A 19b-4(e) is a notice for products that already fit generic listing standards.
Every 19B-4E filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.