Rule 19b-4 and Form 19b-4

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 19b-4 Filing of Proposed Rule Changes	Form and Instruction	Modified	Available
PRA Supporting Statement for Rule 19b-4 Form 19b-4.pdf	Supporting Statement A	Uploaded 2011-06-17	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42938	Filing of Proposed Rule Changes	Form and Instruction	Modified
197307	Updating Website Postings of Proposed Rule Changes		New
197306	Website Posting of Proposed Rule Changes		New

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 201104-3235-013
Status: Historical Active	Previous ICR Reference No: 200805-3235-017
Agency/Subagency: SEC	Agency Tracking No: TM-270-38
Title: Rule 19b-4 and Form 19b-4
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/29/2011
	Date Received in OIRA: 07/28/2011
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2014	36 Months From Approved	08/31/2011
Responses	3,881	0	1,279
Time Burden (Hours)	63,374	0	29,698
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 19b-4, as amended by the Securities Exchange Act Amendments of 1975, requires each self-regulatory organization to file with the Commission on Form 19b-4 copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. The rule is designed to allow the Commission to review proposed rule changes and to solicit public comment on whether they should be approved or disapproved.

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Authorizing Statute(s): US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 22740	04/22/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 37161	06/24/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Filing of Proposed Rule Changes	19b-4	Form 19b-4
Website Posting of Proposed Rule Changes
Updating Website Postings of Proposed Rule Changes

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	3,881	1,279	0	0	2,602	0
Annual Time Burden (Hours)	63,374	29,698	0	0	33,676	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: The Commission staff has revised its estimate of the time to complete each response since the collection of information was previously submitted to OMB for approval. The Commission accordingly adjusted the respondent annual reporting time burden to reflect an increase of 33,676 hours.

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Annual Cost to Federal Government: $300,000

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]? No

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: 07/28/2011

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