Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations

Forms and Documents

Document Name	Status
Form Form 19b-4 Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations Form	Modified
New Form 19b-4.pdf Supplementary Document	2007-03-14
2007 revision 19b-4 Supp Statement.doc Supporting Statement A	0000-00-00

IC Document Collections

IC ID	Document Title	Status
42938	Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations Form	Modified

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 200703-3235-008
Status: Historical Inactive	Previous ICR Reference No: 200410-3235-013
Agency/Subagency: SEC	Agency Tracking No: 270-38
Title: Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 06/20/2007
	Date Received in OIRA: 03/13/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2010	36 Months From Approved	03/31/2008
Responses	1,279	0	1,279
Time Burden (Hours)	29,698	0	38,771
Cost Burden (Dollars)	7,454,664	0	0

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Abstract: Rule 19b-4, as amended by the Securities Exchange Act Amendments of 1975, requires each self-regulatory organization to file with the Commission on Form 19b-4 copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. The rule is designed to allow the Commission to review proposed rule changes and to solicit public comment on whether they should be approved or disapproved.

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Authorizing Statute(s): US Code: 15 USC 78s(b)(1) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AJ80	Proposed rulemaking	72 FR 9412	03/01/2007

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations	Form 19b-4	Form 19b-4

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ICR Summary of Burden

	Total Request	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	1,279	1,279	0	0	0	0
Annual Time Burden (Hours)	29,698	38,771	0	0	-9,073	0
Annual Cost Burden (Dollars)	7,454,664	0	0	0	7,454,664	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $5,564,370

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 03/13/2007

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