Rule 19d-1-Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services, and

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0206 can be found here:

Documents and Forms

Document Name Document Type
SEC SORN 70.pdf SORN-70 IC Document

Information Collection (IC) Details

IC Title:	Rule 19d-1-Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services, and	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.19d-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-70 SORN	FR Citation: 83 FR 6892

Number of Respondents: 18	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,350	-3,150	4,500
Annual IC Time Burden (Hours)	1,350	-900	2,250
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
SORN-70	SEC SORN 70.pdf	06/18/2019

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.