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	Form and Instruction	Modified	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Repair queued
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Repair queued
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	New	Available
Form 19b-4 Form 19b-4	Form and Instruction	Modified	Available
Form 19-4 Form 19b-4	Form and Instruction	Modified	Repair queued
PRA Supporting Statement for Rule 19b-4 and Form 19b-4 - 7-12-12 6PM.pdf	Supporting Statement A	Uploaded 2012-07-13	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42938	Electronic Filing of Proposed Rule Changes	Form and Instruction	Modified	Form 19b-4
203201	Amendment to Conform to Section 916 of the Dodd-Frank Act		New
203200	Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties		New
203199	Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies		New
203197	Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board	Form and Instruction	New	Form 19b-4
203196	Rule 19b-4(n)(4) Designated Clearing Agency Website Posting of Notice of Change to Rules, Procedures, or Operations Referred to in Advance Notices	Form and Instruction	New	Form 19b-4
203195	Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites	Form and Instruction	New	Form 19b-4
203194	Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites	Form and Instruction	New	Form 19b-4
203193	Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes	Form and Instruction	New	Form 19b-4
203192	Rule 19b-4(n)(1) Advance Notice Filings	Form and Instruction	New	Form 19b-4
203191	Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices	Form and Instruction	New	Form 19b-4
203190	Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies	Form and Instruction	New	Form 19b-4
203189	Annual Training to Update SRO Staff on Use of EFFS	Form and Instruction	New	Form 19b-4
203188	Training of Security-Based Swap Clearing Agency Staff to use EFFS	Form and Instruction	New	19b-4
203187	Rule 19b-4(o)(1) - Security-Based Swap Submissions	Form and Instruction	New	Form 19b-4
197307	SRO Website Postings of Proposed Rule Change Filings	Form and Instruction	Modified	Form 19b-4
197306	SRO Website Posting of Proposed Rule Change Filings	Form and Instruction	Modified	Form 19b-4

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 201207-3235-002
Status: Historical Active	Previous ICR Reference No: 201104-3235-013
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: Emergency	Approval Requested By: 08/13/2012
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/12/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/13/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2013	6 Months From Approved	08/31/2014
Responses	7,918	0	3,881
Time Burden (Hours)	156,231	0	63,374
Cost Burden (Dollars)	8,641,140	0	0

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Abstract: The 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 Payment, Clearing and Supervision Act ("Section 806(e)"). The amendments to Rule 19b-4 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.

Emergency Justfication: The reason for this emergency request is that the effective and compliance date for Rule 19b-4(n) is August 13, 2012, 30 days after publication of the final rule in the Federal Register, and the respondents will be required to comply with the rule and the related collection of information requirements as of that date.

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Authorizing Statute(s): US Code: 15 USC 78s(b)(1) Name of Law: 15 USC 78s(b)(1) 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
  

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	Final or interim final rulemaking	77 FR 41602	07/13/2012

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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 Conform to Section 916 of the Dodd-Frank Act
Annual Training to Update SRO Staff on Use of EFFS	19b-4	Form 19b-4
Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies	19b-4	Form 19b-4
Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices	19b-4	Form 19b-4
Electronic Filing of Proposed Rule Changes	19b-4	Form 19b-4
Rule 19b-4(n)(1) Advance Notice Filings	19b-4	Form 19b-4
Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites	19b-4	Form 19b-4
Rule 19b-4(n)(4) Designated Clearing Agency Website Posting of Notice of Change to Rules, Procedures, or Operations Referred to in Advance Notices	19b-4	Form 19b-4
Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board	19b-4	Form 19b-4
Rule 19b-4(o)(1) - Security-Based Swap Submissions	19b-4	Form 19b-4
Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites	19b-4	Form 19b-4
Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies
Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties
SRO Website Posting of Proposed Rule Change Filings	19-4	Form 19b-4
SRO Website Postings of Proposed Rule Change Filings	19b-4	Form 19b-4
Training of Security-Based Swap Clearing Agency Staff to use EFFS	19b-4	19b-4
Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes	19b-4	Form 19b-4

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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	7,918	3,881	4,037	0	0	0
Annual Time Burden (Hours)	156,231	63,374	92,857	0	0	0
Annual Cost Burden (Dollars)	8,641,140	0	8,641,140	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 burden has changed for two reasons. First, Commission staff revised its estimate of the time to complete each proposed rule change filing due to a change in the proportion of average versus complex proposed rule change filings, from 4.27% to 5.00%. In addition, since the previous submission with the proposing release, more up-to-date data became available, which impacted these estimates. Second, there are new burdens which result from the amendments to Rule 19b-4, Form 19b-4, and rule 3Ca-1 imposing new collections of information requirements and information technology costs in connection with Securities-Based Swaps Submissions, Advance Notices, stay of mandatory clearing applications, and Section 916 of the Dodd-Frank Act.

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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]? 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: 07/13/2012

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