Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services and Summary -- Rule 19d-1

ICR 199805-3235-003

OMB: 3235-0206

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0206 199805-3235-003
Historical Active 199505-3235-005
SEC
Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services and Summary -- Rule 19d-1
Extension without change of a currently approved collection   No
Regular
Approved without change 08/04/1998
Retrieve Notice of Action (NOA) 05/12/1998
  Inventory as of this Action Requested Previously Approved
08/31/2001 08/31/2001 08/31/1998
1,100 0 1,000
2,750 0 2,500
0 0 0

Rule 19d-1 under the Securities Exchange Act of 1934 (the "Act") prescribes the form and content of notices to be filed with the Commission by self-regulatory organizations ("SROs") for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) Disciplinary sanctions (including summary suspensions); (2) denials of membership, participation, or association with a member; and (3) prohibitions or limitations on access to SRO services.

None
None


No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 1,100 1,000 0 0 100 0
Annual Time Burden (Hours) 2,750 2,500 0 0 250 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

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.
05/12/1998


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