Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)

ICR 202101-3235-002

OMB: 3235-0128

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2021-04-02
Supplementary Document
2021-04-02
Supporting Statement A
2021-01-08
ICR Details
3235-0128 202101-3235-002
Received in OIRA 201802-3235-013
SEC TM-270-139
Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)
Extension without change of a currently approved collection   No
Regular 04/02/2021
  Requested Previously Approved
36 Months From Approved 06/30/2021
24 21
24 21
0 0

Rule 12f-1 (the "Rule"), originally adopted in 1934 pursuant to Sections 12(f) and 23(a) of the Act and as modified in 1995 and 2005, sets forth the information which an exchange must include in an application to reinstate its ability to extend unlisted trading privileges to any security for which such unlisted trading privileges have been suspended by the Commission, pursuant to Section 12(f)(2)(A) of the Act.

US Code: 15 USC 78w(a) Name of Law: Rules, regulations, and orders; annual reports
   US Code: 15 USC 78l Name of Law: Registration requirements for securities
  
None

Not associated with rulemaking

  86 FR 6403 01/21/2021
86 FR 17222 04/01/2021
No

1
IC Title Form No. Form Name
Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)

  Total Request 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 24 21 0 0 3 0
Annual Time Burden (Hours) 24 21 0 0 3 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The increase in burden from 21 to 24 hours reflects an increase in the overall number of national securities exchanges from 21 to 24.

$0
No
    No
    No
No
No
No
No
Cristie March 202 551-5574 [email protected]

  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.
04/02/2021


© 2021 OMB.report | Privacy Policy