60 day notice

SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From:
Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Washington, DC 20549-2736
Extension: Rule 19d-1
SEC File No. 270-242, OMB Control No. 3235-0206
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C.
3501 et seq.) (“PRA”), the Securities and Exchange Commission (“Commission”) is soliciting
comments on the existing collection of information provided for in Rule 19d-1 (17 CFR 240.19d1) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (“Exchange Act”). The
Commission plans to submit this existing collection of information to the Office of Management
and Budget) (“OMB”) for extension and approval.
Rule 19d-1 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 actions with respect to any
person; (2) denial, bar, prohibition, or limitation of membership, participation or association with a
member or of access to services offered by an SRO or member thereof; (3) summarily suspending a
member, participant, or person associated with a member, or summarily limiting or prohibiting any
persons with respect to access to or services offered by the SRO or a member thereof; and (4)
delisting a security.

2
The Rule enables the Commission to obtain reports from the SROs containing information
regarding SRO determinations to delist a security, discipline members or associated persons of
members, deny membership or participation or association with a member, and similar adjudicated
findings. The Rule requires that such actions be promptly reported to the Commission. The Rule
also requires that the reports and notices supply sufficient information regarding the background,
factual basis and issues involved in the proceeding to enable the Commission: (1) to determine
whether the matter should be called up for review on the Commission’s own motion; and (2) to
ascertain generally whether the SRO has adequately carried out its responsibilities under the
Exchange Act.
It is estimated that approximately eighteen respondents will utilize this application
procedure annually, and will file approximately 1,350 submissions, based upon recent data. The
Commission estimates that the average number of hours necessary to comply with the requirements
of Rule 19d-1 for each submission is 1 hour. The total annual burden for all respondents is thus
1,350 hours. The Commission estimates that the internal compliance cost per respondent is
approximately $298 per response. The annual internal cost of compliance for all respondents is
thus approximately $402,300 (18 respondents x 75 responses x $298 per response).
Written comments are invited on: (a) whether the proposed collection of information is
necessary for the proper performance of the functions of the Commission, including whether the
information shall have practical utility; (b) the accuracy of the Commission’s estimates of the
burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity
of the information collected; and (d) ways to minimize the burden of the collection of information

3
on respondents, including through the use of automated collection techniques or other forms of
information technology. Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information under the PRA unless it displays a currently valid OMB control
number.
Please direct your written comments to: Charles Riddle, Acting Director/Chief Information
Officer, Securities and Exchange Commission, c/o Candace Kenner, 100 F Street, NE, Washington,
DC 20549 or send an e-mail to: [email protected].

2019

Eduardo A. Aleman
Deputy Secretary