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

ICR 200711-3235-006

OMB: 3235-0045

Federal Form Document

Forms and Documents
IC Document Collections
ICR Details
3235-0045 200711-3235-006
Historical Active 200410-3235-013
SEC 270-38
Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
Revision of a currently approved collection   No
Regular
Approved without change 03/18/2008
Retrieve Notice of Action (NOA) 01/30/2008
In its next submission, the agency should remove the cost burdens because they are a monetization of the burden hours. The agency is reminded to avoid such double-counting of burden in the future.
  Inventory as of this Action Requested Previously Approved
03/31/2011 36 Months From Approved 03/31/2008
1,279 0 1,279
29,698 0 38,771
7,866,246 0 0

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.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  72 FR 67767 11/30/2007
73 FR 5245 01/29/2008
No

1
IC Title Form No. Form Name
Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations 19B-4 Form 19B-4

  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 1,279 1,279 0 0 0 0
Annual Time Burden (Hours) 29,698 38,771 0 -9,073 0 0
Annual Cost Burden (Dollars) 7,866,246 0 0 7,866,246 0 0
No
Yes
Miscellaneous Actions
Changes from the last PRA submission are the result of new estimates and updating of per hour costs to reflect current economic conditions. The total annual cost burden of $7,866,242 is calculated on the basis of 27,671 hours of legal/paralegal work at $269.70/hour ($7,462,869) plus 2,027 hours of programming work at $199/hour ($403,373). In anticipation of amendments to Rule 19b-4, a preapproval was issued in June 2007 for an annual cost burden of $7,454,664. In 2004, no annual cost burden was reported.

$0
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.
01/30/2008


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