Rule 19d-1--Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services and
ICR 200106-3235-010
OMB: 3235-0206
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0206 can be found here:
Rule 19d-1--Notices by
Self-Regulatory Organizations of Final Disciplinary Actions,
Denials, Bars, or Limitations Respecting Membership Association,
Participation, or Access to Services and
Extension without change of a currently approved collection
Rule 19d-1 under the Securities
Exchange Act of 1934 (the "Exchange 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.
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.