Rule 6h-1 Under the Securities Exchange Act of 1934

Forms and Documents

Document	Type	Status	Availability
2013 Supporting Statement - 6h-1 (MK comments)(v 2)- DGL REVISED.pdf	Supporting Statement A	Uploaded 2013-07-15	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
35384	Rule 6h-1 Under the Securities Exchange Act of 1934		Modified

ICR Details

OMB Control No: 3235-0555	ICR Reference No: 201304-3235-020
Status: Historical Active	Previous ICR Reference No: 201007-3235-004
Agency/Subagency: SEC	Agency Tracking No: TM-270-497
Title: Rule 6h-1 Under the Securities Exchange Act of 1934
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: 08/28/2013
	Date Received in OIRA: 07/15/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2016	36 Months From Approved	10/31/2013
Responses	1	0	18
Time Burden (Hours)	10	0	180
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 6h-1 requires national securities exchanges and national securities associations that trade security futures products to: (1) require cash-settled security futures products to settle based on an opening price rather than a closing price and (2) require the exchange or association to halt trading in a security futures product for as long as trading in the underlying security, or trading in 50% of the underlying securities, is halted on the listing market.

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Authorizing Statute(s): US Code: 15 USC 78(h) 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:
	78 FR 26406	05/06/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 42114	07/15/2013
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Rule 6h-1 Under the Securities Exchange Act of 1934

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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	1	18	0	0	-17	0
Annual Time Burden (Hours)	10	180	0	0	-170	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 annual time burden has decreased from 180 hours to 10 hours per year because the SEC has revised its estimate of the number of respondents complying with the ICR requirements of the rule downward from 18 to 1.

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Annual Cost to Federal Government: $0

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: 07/15/2013

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