Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization

Forms and Documents

Document	Type	Status	Availability
2011 19d-2 just (1)[1].pdf	Supporting Statement A	Uploaded 2012-01-03	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34575	Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization		Modified

ICR Details

OMB Control No: 3235-0205	ICR Reference No: 201110-3235-019
Status: Historical Active	Previous ICR Reference No: 200811-3235-011
Agency/Subagency: SEC	Agency Tracking No: TM-270-204
Title: Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization
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: 03/12/2012
	Date Received in OIRA: 01/03/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2015	36 Months From Approved	03/31/2012
Responses	15	0	8
Time Burden (Hours)	45	0	24
Cost Burden (Dollars)	0	0	0

---

Abstract: Rule 19d-2 (17 CFR 240.19d-2) prescribes the form and content to the Commission by persons desiring stays of final disciplinary sanctions and summary action of self-regulatory organizations for which the Commission is the appropriate regulatory agency.

---

Authorizing Statute(s): US Code: 15 USC 78a et seq. Name of Law: Section 19d-2 of the Exchange Act
  

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 65222	10/20/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 80420	12/23/2011
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization

---

ICR Summary 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	15	8	0	0	7	0
Annual Time Burden (Hours)	45	24	0	0	21	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The Commission staff's estimate of the total time burden on respondents increased from 24 hours to the current 45 hours due to an increase in the number respondents to reflect the increase in the number of self-regulatory organizations from 8 to the current number of 15. At the same time, the Commission's staff's estimates of the costs for submitting the response to comply with Rule 19d-2 were updated to provide for addition itemized detail to more accurately reflect the cost burden on respondents. The Commission's staff's estimates for the cost of respondents per response and total annual cost to all respondents reflect the inclusion of the more specific hourly cost estimates to respondents.

---

Annual Cost to Federal Government: $450

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

---

Common Form ICR:  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:

(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: 01/03/2012

---