Proposed Rules 201 and 200(g)

ICR 201003-3235-002

OMB: 3235-0651

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement B
2009-06-29
Supporting Statement A
2009-07-01
IC Document Collections
IC ID
Document
Title
Status
188961
New
ICR Details
3235-0651 201003-3235-002
Historical Active 200904-3235-018
SEC TM-270-592
Proposed Rules 201 and 200(g)
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 03/11/2010
Retrieve Notice of Action (NOA) 03/11/2010
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
07/31/2012 36 Months From Approved
200,196 0 0
7,197,046 0 0
39,626,667 0 0

Proposed Rules 201 and 200(g) are designed to help restore investor confidence by restricting short selling at successively lower prices and, thereby, help prevent short selling, including potentially abusive or manipulative short selling, from being used as a tool for driving the market down or from being used to accelerate a declining market by exhausting all remaining bids at one price level, while at the same time allowing relatively unrestricted short selling in an advancing market. The information collected would also aid the Commission and self-regulatory organizations in monitoring compliance with the requirements of the proposed amendments.

US Code: 15 USC 78b, 78c(b), 78f, 78i(h), 78j Name of Law: Sections 2, 3(b), 6, 9(h), 10 of the Exchange Act
   US Code: 15 USC 78k-1, 78o, 78o-3, 78q, 78q-1 Name of Law: Sections 11A, 15, 15A, 17, 17A of the Exchange Act
   US Code: 15 USC 78s and 78w(a) Name of Law: Sections 19 and 23(a) of the Exchange Act
  
None

3235-AK22 Final or interim final rulemaking 75 FR 11232 03/10/2010

No

1
IC Title Form No. Form Name
Proposed Rules 201 and 200(g)

  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 200,196 0 0 200,196 0 0
Annual Time Burden (Hours) 7,197,046 0 0 7,197,046 0 0
Annual Cost Burden (Dollars) 39,626,667 0 0 39,626,667 0 0
Yes
Changing Regulations
No
The increase in burden occurred because of proposed new regulations.

$0
No
No
Uncollected
Uncollected
No
Uncollected
Joan Collopy 202 942-0772

  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.
04/28/2009


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