Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))

ICR 200701-3235-035

OMB: 3235-0504

Federal Form Document

Forms and Documents
IC Document Collections
ICR Details
3235-0504 200701-3235-035
Historical Active 200404-3235-002
SEC 270-447
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
Revision of a currently approved collection   No
Regular
Approved without change 08/01/2007
Retrieve Notice of Action (NOA) 04/20/2007
  Inventory as of this Action Requested Previously Approved
08/31/2010 36 Months From Approved 07/31/2007
50 0 50
50 0 50
11,975 0 0

Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of 1934.

US Code: 15 USC 78s(b) Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  72 FR 4737 02/01/2007
72 FR 19986 04/20/2007
No

1
IC Title Form No. Form Name
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e)) 19b-4(e) Form 19b-4(e)

  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 50 50 0 0 0 0
Annual Time Burden (Hours) 50 50 0 0 0 0
Annual Cost Burden (Dollars) 11,975 0 0 0 11,975 0
No
No

$4,350
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Michou Hai Minh Nguyen 202 551-5634 [email protected]

  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.
04/20/2007


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