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

ICR 201011-3235-005

OMB: 3235-0686

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
New
Form and Instruction
New
Form and Instruction
New
Form and Instruction
New
Form and Instruction
New
Form and Instruction
New
Supporting Statement A
2010-11-08
ICR Details
3235-0686 201011-3235-005
Historical Inactive
SEC EN-270-625
Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 02/25/2011
Retrieve Notice of Action (NOA) 11/17/2010
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
36 Months From Approved
0 0 0
0 0 0
0 0 0

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.

US Code: 15 USC 78u-6 Name of Law: Securities Exchange Act of 1934
  
PL: Pub.L. 111 - 203 922 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

3235-AK78 Proposed rulemaking 75 FR 70487 11/17/2010

No

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

Yes
Changing Regulations
No
This is a new collection. The burden is currently estimated to be 10,734 hours annually.

No
No
No
Yes
No
Uncollected
Sam Waldon 202 551-4710

  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.
11/17/2010


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