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

ICR 201903-3235-020

OMB: 3235-0206

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2019-06-18
Supplementary Document
2019-06-18
Supplementary Document
2019-06-18
ICR Details
3235-0206 201903-3235-020
Active 201602-3235-011
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 08/20/2019
Retrieve Notice of Action (NOA) 06/18/2019
  Inventory as of this Action Requested Previously Approved
08/31/2022 36 Months From Approved 08/31/2019
1,350 0 4,500
1,350 0 2,250
0 0 0

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

  84 FR 14686 04/11/2019
84 FR 26711 06/07/2019
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 1,350 4,500 0 0 -3,150 0
Annual Time Burden (Hours) 1,350 2,250 0 0 -900 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The overall change is a decrease in the annual time burden from 2,250 hours to 1,350 hours. The 900 hour decrease is due to the fact that while the time per response has increased from 0.5 hour to 1 hour, the estimated number of responses per respondent has decreased from 250 to 75.

$0
No
    No
    No
No
No
No
Uncollected
Catherine Moore 202 551-5718 [email protected]

  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.
06/18/2019


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