Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 19b-4 Form 19b-4 and Rule 19b-4 of the Securities Exchange Act of 1934 - Electronic Filing of Proposed Rule Changes	Form and Instruction	Modified	Available
Supporting statement Rule 19b-4 Final.docx	Supporting Statement A	Uploaded 2011-01-18	Available
Dodd-Frank Act Section 916.pdf	Supplementary Document	Uploaded 2011-01-14	Available
Dodd-Frank Act Section 806.pdf	Supplementary Document	Uploaded 2011-01-14	Available
Dodd-Frank Act Section 763(a).pdf	Supplementary Document	Uploaded 2011-01-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42938	Form 19b-4 and Rule 19b-4 of the Securities Exchange Act of 1934 - Electronic Filing of Proposed Rule Changes	Form and Instruction	Modified
195971	Amendment to Rule 19b-4 relating to Section 916 of the Dodd-Frank Act		New
195970	Proposed Rule 3Ca-1 of the Securities Exchange Act of 1934 - Counterparty Stay of Clearing Requirement Application Preparation and Submission		New
195969	Proposed Rule 3Ca-1 of the Securities Exchange Act of 1934 - SBS Clearing Agency Stay of Clearing Requirement Information		New
195968	Proposed Rule 19b-4(n)(5) of the Securities Exchange Act of 1934 - Submission of Advance Notices to Board of Governors of Federal Reserve		New
195967	Proposed Rule 19b-4(n)(4) of the Securities Exchange Act of 1934 - Website Posting of Notices of Change to Rules, Procedures, or Operations Referred to in Advance Notices		New
195966	Proposed Rule 19b-4(n)(3) of the Securities Exchange Act of 1934 - Posting of Advance Notices on Designated Clearing Agency Websites		New
195965	Proposed Rule 19b-4(o)(5) of the Securities Exchange Act of 1934 - Posting of Security-Based Swap Submissions on Clearing Agency Websites		New
195964	Creating or Updating Websites to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes		New
195963	Proposed Rule 19b-4(n)(1) of the Securities Exchange Act of 1934 - Advance Notices		New
195962	Drafting and Implementing Updated Policies and Procedures for Using EFFS		New
195961	Drafting and Implementing Policies and Procedures for Using EFFS		New
195956	Annual Training on Use of EFFS		New
195955	Initial One-Time Training on Use of EFFS for SBS Submission, Advance Notices and Proposed Rule Changes		New
195954	Proposed Rule 19b-4(o)(1) of the Securities Exchange Act of 1934 - Security-Based Swap Submissions		New
195953	SRO Website Posting of Approved Rule Changes		New
195952	SRO Website Posting of Proposed Rule Changes		New

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 201101-3235-006
Status: Historical Inactive	Previous ICR Reference No: 200805-3235-017
Agency/Subagency: SEC	Agency Tracking No: TM-270-38
Title: Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 03/27/2011
	Date Received in OIRA: 01/18/2011
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.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2011	36 Months From Approved	08/31/2011
Responses	1,279	0	1,279
Time Burden (Hours)	29,698	0	29,698
Cost Burden (Dollars)	0	0	0

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Abstract: The proposed amendments to Rule 19b-4 under the Securities Exchange Act of 1934 ("Exchange Act") are to incorporate two new requirements applicable to clearing agencies under Section 3C of the Exchange Act, as added by Section 763(a) of the Dodd-Frank Act ("Exchange Act Section 3C"), and under Section 806(e) of the Dodd-Frank Act ("Section 806(e)"). The proposed amendments to Rule 19b-4 would mandate that submissions required under Exchange Act Section 3C for a mandatory clearing determination of any security-based swap, or group, category, type or class of security-based swaps, that a clearing agency plans to accept for clearing, and advance notices required under Section 806(e) of proposed changes to rules, procedures or operations of financial market utilities be filed with the Commission on Form 19b-4. Exchange Act Section 3C also contains collection of information requirements in connection with applications to stay the mandatory clearing requirement.

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Authorizing Statute(s): US Code: 15 USC 78s(b)(1) Name of Law: Section 19-(b)(1) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
   US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
   US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
   US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
  

Citations for New Statutory Requirements: US Code: 15 USC 78s(b)(1) Name of Law: Section 19b-1 of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK87	Proposed rulemaking	75 FR 82490	12/30/2010

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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: 17

table that charts list of burden

IC Title	Form No.	Form Name
Amendment to Rule 19b-4 relating to Section 916 of the Dodd-Frank Act
Proposed Rule 19b-4(n)(5) of the Securities Exchange Act of 1934 - Submission of Advance Notices to Board of Governors of Federal Reserve
Initial One-Time Training on Use of EFFS for SBS Submission, Advance Notices and Proposed Rule Changes
Form 19b-4 and Rule 19b-4 of the Securities Exchange Act of 1934 - Electronic Filing of Proposed Rule Changes	19b-4	Form 19b-4 and Instructions
Proposed Rule 19b-4(n)(1) of the Securities Exchange Act of 1934 - Advance Notices
Proposed Rule 3Ca-1 of the Securities Exchange Act of 1934 - SBS Clearing Agency Stay of Clearing Requirement Information
Proposed Rule 3Ca-1 of the Securities Exchange Act of 1934 - Counterparty Stay of Clearing Requirement Application Preparation and Submission
Proposed Rule 19b-4(o)(5) of the Securities Exchange Act of 1934 - Posting of Security-Based Swap Submissions on Clearing Agency Websites
Drafting and Implementing Updated Policies and Procedures for Using EFFS
Proposed Rule 19b-4(n)(3) of the Securities Exchange Act of 1934 - Posting of Advance Notices on Designated Clearing Agency Websites
Proposed Rule 19b-4(o)(1) of the Securities Exchange Act of 1934 - Security-Based Swap Submissions
Annual Training on Use of EFFS
Drafting and Implementing Policies and Procedures for Using EFFS
Proposed Rule 19b-4(n)(4) of the Securities Exchange Act of 1934 - Website Posting of Notices of Change to Rules, Procedures, or Operations Referred to in Advance Notices
SRO Website Posting of Approved Rule Changes
SRO Website Posting of Proposed Rule Changes
Creating or Updating Websites to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes

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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: The proposed amendments to Rule 19b-4 would mandate that submissions required under Exchange Act Section 3C for a mandatory clearing determination of any security-based swap, or group, category, type or class of security-based swaps, that a clearing agency plans to accept for clearing, and advance notices required under Section 806(e) of proposed changes to rules, procedures or operations of financial market utilities be filed with the Commission on Form 19b-4. Exchange Act Section 3C also contains collection of information requirements in connection with applications to stay the mandatory clearing requirement.

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Annual Cost to Federal Government: $76,612

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: 01/18/2011

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