Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934

Forms and Documents

Document	Type	Status	Availability
Form WB-3 Form WB-APP	Form and Instruction	New	Available
Form WB-2 Form WB-DEC	Form and Instruction	New	Available
Form WB-1 Form TCR	Form and Instruction	New	Repair queued
Form WB-3 Form WB-APP	Form and Instruction	New	Repair queued
Form WB-2 Form WB-DEC	Form and Instruction	New	Available
Form WB-1 Form TCR	Form and Instruction	New	Available
Whistleblower Rule Supporting Statement FINAL.doc	Supporting Statement A	Uploaded 2010-11-08	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
195122	Form WB-APP	Form and Instruction	New
195121	Form WB-DEC	Form and Instruction	New
195120	Form TCR	Form and Instruction	New
195119	Form WB-APP	Form and Instruction	New
195118	Form WB-DEC	Form and Instruction	New
195117	Form TCR	Form and Instruction	New

ICR Details

OMB Control No: 3235-0686	ICR Reference No: 201011-3235-005
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: EN-270-625
Title: Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 02/25/2011
	Date Received in OIRA: 11/17/2010
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The proposal is designed to provide guidelines for the implementation of the Whistleblower Program, established by the Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank”), which requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. The proposed rule defines certain terms critical to the operation of the Whistleblower Program, outlines the procedures for applying for awards and the Commission’s procedures for making decisions on claims, and generally explains the scope of the Whistleblower Program to the public and to potential whistleblowers. The proposed rule contains the following three collections of information: Form TCR, Form WB-DEC and Form WB-APP.

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Authorizing Statute(s): US Code: 15 USC 78u-6 Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 922 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK78	Proposed rulemaking	75 FR 70487	11/17/2010

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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: 6

IC Title	Form No.	Form Name
Form WB-APP	WB-3	Form WB-APP
Form WB-DEC	WB-2	Form DEC
Form WB-DEC	WB-2	Form DEC
Form TCR	WB-1	Form TCR
Form WB-APP	WB-3	Form WB-APP
Form TCR	WB-1	Form TCR

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: This is a new collection. The burden is currently estimated to be 10,734 hours annually.

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Annual Cost to Federal Government:

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]? No

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

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

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: 11/17/2010

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