Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security

ICR 201302-3235-008

OMB: 3235-0206

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2013-05-22
ICR Details
3235-0206 201302-3235-008
Historical Active 201006-3235-013
SEC TM-270-242
Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security
Extension without change of a currently approved collection   No
Regular
Approved without change 07/23/2013
Retrieve Notice of Action (NOA) 05/22/2013
  Inventory as of this Action Requested Previously Approved
07/31/2016 36 Months From Approved 08/31/2013
4,500 0 2,350
2,250 0 1,175
0 0 118,675

Rule 19d-1 under the Securities Exchange Act of 1934 prescribes the form and content of notices to be filed with the Commission by self-regulatory organizations ("SROs") for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) disciplinary sanctions (including summary suspensions); (2) denials of membership, participation, or association with a member; and (3) prohibitions or limitations on access to SRO services and (4) delisting a security.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78,m, Name of Law: Securities Exchange Act of 19234
  
None

Not associated with rulemaking

  78 FR 15756 03/12/2013
78 FR 30344 05/22/2013
No

  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 4,500 2,350 0 0 2,150 0
Annual Time Burden (Hours) 2,250 1,175 0 0 1,075 0
Annual Cost Burden (Dollars) 0 118,675 0 0 -118,675 0
No
No
The increase in the time burden is due to an increase in the number of filings submitted by respondents pursuant to Rule 19d-1. The decrease in the cost burden from $118,675 to $0 is due to the fact that in the previous submission the monetization of the internal compliance cost was erroneously stated as a separate dollar cost burden.

$80,000
No
No
No
No
No
Uncollected
Robert Cushmac 202 551-5587

  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.
05/22/2013


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