Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading

Forms and Documents

Document Name	Status
12d2-1 Support DGL.pdf Supporting Statement A	2018-07-24

IC Document Collections

IC ID	Document Title	Status
34315	Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading	Modified

ICR Details

OMB Control No: 3235-0081	ICR Reference No: 201804-3235-010
Status: Active	Previous ICR Reference No: 201411-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM-270-098
Title: Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading
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: 10/19/2018
	Date Received in OIRA: 07/24/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2021	36 Months From Approved	10/31/2018
Responses	964	0	1,600
Time Burden (Hours)	482	0	800
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 12d2-1, which was adopted in 1935, requires that national securities exchanges send written notice to the Commission of all trading suspensions. This provides the Commission with information necessary to determine whether suspensions have been accomplished in accordance with federal securities laws and exchange rules.

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Authorizing Statute(s): US Code: 15 USC 78b, 78c, 78k, and 78w Name of Law: Sections 12 and 23 of the 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:
	83 FR 18371	04/26/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 34280	07/19/2018
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
Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading

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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	964	1,600	0	0	-636	0
Annual Time Burden (Hours)	482	800	0	0	-318	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 burden hours decreased from 800 to 482 hours because there were 636 fewer responses when compared to the PRA renewal in 2015.

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Annual Cost to Federal Government: $27,715

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 07/24/2018

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