NOTICES BY SELF-REGULATORY ORGANIZATIONS ("SRO'S") OF FINAL DISCIPLINARY ACTIONS, DENIALS, BARS OR LIMITATION RESPECTING MEMBERSHIP, ASSOCIATION, PARTICIPATION, OR ACCESS
ICR 198111-3235-003
OMB: 3235-0206
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0206 can be found here:
NOTICES BY SELF-REGULATORY
ORGANIZATIONS ("SRO'S") OF FINAL DISCIPLINARY ACTIONS, DENIALS,
BARS OR LIMITATION RESPECTING MEMBERSHIP, ASSOCIATION,
PARTICIPATION, OR ACCESS
New
collection (Request for a new OMB Control Number)
RULE 19D-1(B) THROUGH (I), ORGINALLY
ADOPTED ON JULY 8, 1977, PRESCRIB THE FORM AND CONTENT OF NOTICES
TO BE FILED BY SRO'S CONCERNING ALL FINAL DISCIPLINARY ACTIONS,
DENIALS, BARS, OR LIMITATIONS RESPECTING MEMBERSHIP, ASSOCIATION,
PARTICIPATION, OR ACCESS TO SERVICES, AND SUMMARY
SUSPENSIONS.
On behalf of this Federal agency, I certify that
the collection of information encompassed by this request complies
with 5 CFR 1320.9 and the related provisions of 5 CFR
1320.8(b)(3).
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a
benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control
number;
If you are unable to certify compliance with any of
these provisions, identify the item by leaving the box unchecked
and explain the reason in the Supporting Statement.