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
ICR 201101-3235-006
OMB: 3235-0045
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0045 can be found here:
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.