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
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
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
08/31/2011
36 Months From Approved
08/31/2011
1,279
0
1,279
29,698
0
29,698
0
0
0
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.
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
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
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.
$76,612
No
No
No
Yes
No
Uncollected
Kenneth Riitho 2025515592
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.
Form 19b-4 Form 19b-4 and Rule 19b-4 of the Securities Exchange Act of 1934 - Electronic Filing of Proposed Rule Changes
Supporting statement Rule 19b-4 Final.docx
Dodd-Frank Act Section 916.pdf
Form 19b-4 and Rule 19b-4 of the Securities Exchange Act of 1934 - Electronic Filing of Proposed Rule Changes