Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen

ICR 201907-3235-001

OMB: 3235-0045

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supplementary Document
2019-10-28
Supplementary Document
2019-10-28
Supporting Statement A
2019-11-06
IC Document Collections
IC ID
Document
Title
Status
42938 Modified
236888
New
236886
New
203201
Modified
203200
Modified
203199
Modified
203197
Modified
203196
Modified
203195
Modified
203194
Modified
203193
Modified
203192
Modified
203190
Modified
203189
Modified
203188
Modified
203187
Modified
197307
Modified
197306
Modified
ICR Details
3235-0045 201907-3235-001
Active 201605-3235-008
SEC TM-270-038
Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
Extension without change of a currently approved collection   No
Regular
Approved without change 01/02/2020
Retrieve Notice of Action (NOA) 11/13/2019
  Inventory as of this Action Requested Previously Approved
01/31/2023 36 Months From Approved 12/31/2019
4,988 0 6,683
91,301 0 114,740
2,580,039 0 2,442,834

Section 19(b) of the Act (15 U.S.C. 78s(b)) requires each self-regulatory organization ("SRO") to file with the Commission copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. Rule 19b-4 implements the requirements of Section 19(b) by requiring the SROs to file their proposed rule changes on Form 19b-4 and by clarifying which actions taken by SROs are subject to the filing requirement set forth in Section 19(b). Rule 19b-4(n) requires a designated clearing agency to provide an advance notice to the Commission of any proposed change to its rules, procedures, or operations that could materially affect the nature or level of risks presented by such clearing agency. Rule 19b-4(o) requires a registered clearing agency to submit for a Commission determination any security-based swap, or any group, category, type, or class of security-based swaps it plans to accept for clearing, and provide notice to its members of such submissions.

US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
   US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
   US Code: 15 USC 78s(b)(1) Name of Law: 15 USC 78s(b)(1) Section 19b-1 of the Securities Exchange Act of 1934
   US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
   US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
   US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
  
US Code: 15 USC 78s(b)(1) Name of Law: Section 19b-1 of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act

Not associated with rulemaking

  84 FR 36981 07/30/2019
84 FR 54710 10/10/2019
No

18
IC Title Form No. Form Name
IC4 - Training of National Securities Exchange Staff to use EFFS
IC5 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered National Securities Exchanges
IC16 - Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies
IC17 - Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties
IC18 - Amendment to Conform to Section 916 of the Dodd-Frank Act
IC1 - Electronic Filing of Proposed Rule Changes SEC 1832 Form 19b-4
IC2 - SRO Website Posting of Proposed Rule Change Filings
IC3 - SRO Website Postings of Proposed Rule Change Filings
IC9 - Rule 19b-4(o)(1) - Security-Based Swap Submissions
IC7 - Training of Security-Based Swap Clearing Agency Staff to use EFFS
IC6 - Annual Training to Update SRO Staff on Use of EFFS
IC8 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies
IC10 - Rule 19b-4(n)(1) Advance Notice Filings
IC12 - Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes
IC13 - Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites
IC14 - Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites
IC15 - Rule 19b-4(n)(4) Designated Clearing Agency Website Posting of Notice of Change to Rules, Procedures, or Operations Referred to in Advance Notices
IC11 - Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board

  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 4,988 6,683 0 0 -1,695 0
Annual Time Burden (Hours) 91,301 114,740 0 0 -23,439 0
Annual Cost Burden (Dollars) 2,580,039 2,442,834 0 0 137,205 0
No
No
The Commission staff has revised its estimate of the total annual reporting burden for filing proposed rule changes and Advance Notices based on the number of proposed rule changes and Advance Notices it has received. The Commission has revised the number of respondents based on the new registration of an SRO and expected new registration of an SRO. The Commission has revised the number of clearing agencies subject to Advance Notice filing requirements based on the current number of designated clearing agencies and the expected new registration of a designated clearing agency.

$17,218,290
No
    Yes
    No
No
Yes
No
Uncollected
Robert Zak 202 551-5965

  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.
11/13/2019


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