Rule 12d1-3 60 Day Federal Register 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 12d1-3
SEC File No. 270-116, OMB Control No. 3235-0109
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C.
3501 et seq.), the Securities and Exchange Commission (“Commission”) is soliciting comments
on the collection of information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and Budget for extension and
approval.
Exchange Act Rule 12d1-3 (17 CFR 240.12d1-3) requires a certification that a security
has been approved by an exchange for listing and registration pursuant to Section 12(d) of the
Securities Exchange Act of 1934 (15 U.S.C. 78l(d)) to be filed with the Commission. The
information required under Rule 12d1-3 must be filed with the Commission and is publicly
available. We estimate that it takes approximately one-half hour per response to provide the
information required under Rule 12d1-3 and that the information is filed by approximately 688
respondents for a total annual reporting burden of 344 hours (0.5 hours per response x 688
responses).
Written comments are invited on: (a) whether this proposed collection of information is
necessary for the performance of the functions of the agency, including whether the information
will have practical utility; (b) the accuracy of the agency’s estimate of the burden imposed by the

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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 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 unless it displays a currently valid control number.
Please direct your written comment 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].
signed by
EDUARDO Digitally
EDUARDO ALEMAN
2019.05.08
ALEMAN Date:
12:21:28 -04'00'

Eduardo A. Aleman
Deputy Secretary
May 8, 2019