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 Form 19b-4 Electronic Filing of Proposed Rule Changes	Form and Instruction	Modified	Available
2016 19b-4 Supporting Statement.pdf	Supporting Statement A	Uploaded 2016-08-26	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
203201	Amendment to Conform to Section 916 of the Dodd-Frank Act		Modified
203200	Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties		Modified
203199	Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies		Modified
203197	Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board		Modified
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		Modified
203195	Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites		Modified
203194	Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites		Modified
203193	Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes		Unchanged
203192	Rule 19b-4(n)(1) Advance Notice Filings		Modified
203191	Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices		Removed
203190	Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies		Modified
203189	Annual Training to Update SRO Staff on Use of EFFS		Modified
203188	Training of Security-Based Swap Clearing Agency Staff to use EFFS		Modified
203187	Rule 19b-4(o)(1) - Security-Based Swap Submissions		Modified
197307	SRO Website Postings of Proposed Rule Change Filings		Modified
197306	SRO Website Posting of Proposed Rule Change Filings		Modified

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 201605-3235-008
Status: Historical Active	Previous ICR Reference No: 201404-3235-009
Agency/Subagency: SEC	Agency Tracking No: TM-270-038
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: 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: 11/24/2016
	Date Received in OIRA: 08/26/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2019	36 Months From Approved	11/30/2016
Responses	6,683	0	7,338
Time Burden (Hours)	114,740	0	140,431
Cost Burden (Dollars)	2,442,834	0	9,764,000

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Abstract: Section 19(b) of the Act (15 U.S.C. 78s(b)) requires each self-regulatory organization ("SRO") to file with the Commission copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. Rule 19b-4 implements the requirements of Section 19(b) by requiring the SROs to file their proposed rule changes on Form 19b-4 and by clarifying which actions taken by SROs are subject to the filing requirement set forth in Section 19(b). Rule 19b-4(n) requires a designated clearing agency to provide an advance notice to the Commission of any proposed change to its rules, procedures, or operations that could materially affect the nature or level of risks presented by such clearing agency. Rule 19b-4(o) requires a registered clearing agency to submit for a Commission determination any security-based swap, or any group, category, type, or class of security-based swaps it plans to accept for clearing, and provide notice to its members of such submissions.

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Authorizing Statute(s): 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: 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: 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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 40935	06/23/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 57948	08/24/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 16

table that charts list of burden

IC Title	Form No.	Form Name
Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies
Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties
Amendment to Conform to Section 916 of the Dodd-Frank Act
Electronic Filing of Proposed Rule Changes	Form 19b-4	SEC 1832
SRO Website Posting of Proposed Rule Change Filings
SRO Website Postings of Proposed Rule Change Filings
Rule 19b-4(o)(1) - Security-Based Swap Submissions
Training of Security-Based Swap Clearing Agency Staff to use EFFS
Annual Training to Update SRO Staff on Use of EFFS
Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies
Rule 19b-4(n)(1) Advance Notice Filings
Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes
Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites
Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites
Rule 19b-4(n)(4) Designated Clearing Agency Website Posting of Notice of Change to Rules, Procedures, or Operations Referred to in Advance Notices
Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board
Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices

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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	6,683	7,338	0	-651	-4	0
Annual Time Burden (Hours)	114,740	140,431	0	-25,651	-40	0
Annual Cost Burden (Dollars)	2,442,834	9,764,000	0	-7,321,166	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The Commission staff has revised its estimate of the total annual reporting burden for filing proposed rule changes and Advance Notices based on the number of proposed rule changes and Advance Notices it has received. The Commission has revised the number of respondents based on deregistrations of previously existing SROs, new registrations of SROs, and expected new registrations of SROs. The Commission has revised the number of security based swap clearing agencies based on the number of clearing agencies currently clearing security based swaps and an expected new registration of a security based swap clearing agency. The Commission has revised the number of clearing agencies subject to Advance Notice filing requirements based on the current number of designated clearing agencies.

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Annual Cost to Federal Government: $16,210,930

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: 08/26/2016

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