Notices of Self-Regulatory Organizations of Final Disciplinary Actions; Bars or Limitations Respecting Membership Association, Participation, or Access to Services; and Summary Suspensions
ICR 199505-3235-005
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⚠️ Notice: This information collection may be outdated.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 of Self-Regulatory
Organizations of Final Disciplinary Actions; Bars or Limitations
Respecting Membership Association, Participation, or Access to
Services; and Summary Suspensions
Extension without change of a currently approved collection
Rule 19d-1 under section 19(d)(1) of
the Securities Exchange Act of 1934 prescribes the form and content
of notices required to be filed with the Commission by
self-regulatory organizations for which the Commission is the
appropriate regulatory agency concerning all final disciplinary
sanctions, denial of membership, and participation or association
with a member.
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.