Rule 12d1-3 30 Day Federal Register Notice

SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon Written Request Copies Available From:
Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Washington, DC 20549-2736
Extensions: 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”) has submitted to the
Office of Management and Budget this request for extension of the previously approved
collection of information discussed below.
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 to provide the information
required under Rule 12d1-3 and that the information is filed by approximately 688 respondents
annually for a total annual reporting burden of 344 burden hours (0.5 hours per response x 688
responses).
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.
The public may view the background documentation for this information collection at the
following website, www.reginfo.gov. Comments should be directed to: (i) Desk Officer for the

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Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of
Management and Budget, Room 10102, New Executive Office Building, Washington, DC
20503, or by sending an e-mail to: [email protected]; and (ii) 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]. Comments must be submitted to OMB within 30 days of this notice.
Digitally signed by

JILL
JILL PETERSON
PETERSON Date: 2019.07.26
10:02:36 -04'00'

Jill M. Peterson
Assistant Secretary

July 26, 2019