Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document

ICR 201712-3235-007

OMB: 3235-0480

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-03-19
ICR Details
3235-0480 201712-3235-007
Active 201410-3235-007
SEC TM-270-429
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document
Extension without change of a currently approved collection   No
Regular
Approved without change 05/01/2018
Retrieve Notice of Action (NOA) 03/19/2018
  Inventory as of this Action Requested Previously Approved
05/31/2021 36 Months From Approved 04/30/2018
178,509 0 234,036
1,847 0 2,238
0 0 0

An options disclosure document ("ODD") contains information concerning standardized options and options trading. An options market must file the ODD with the Commission prior to furnishing the ODD to customers, and must file amendments to the ODD if the information becomes materially inaccurate or incomplete. In addition, Rule 9b-1 requires a broker-dealer to furnish to each customer, and keep current, an ODD, prior to accepting an order to purchase or sell an option on behalf of that customer.

US Code: 15 USC 77b, 77g, 77j, 77s(a) Name of Law: Sections 2, 7, 10 and 19(a) of the Securities Act of 1933
   US Code: 15 USC 78i, 78o, 78w(a) Name of Law: Sections 9, 15, and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  83 FR 2244 01/16/2018
83 FR 12070 03/19/2018
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 178,509 234,036 0 0 -55,527 0
Annual Time Burden (Hours) 1,847 2,238 0 0 -391 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated net decrease in the time burden is the result of two factors: an increase in the reporting burden for the options exchanges and a decrease in the broker-dealers’ burden of furnishing the ODD to customers.

$32,370
No
    No
    No
No
No
No
Uncollected
Gita Subramaniam 202 551-5793

  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.
03/19/2018


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