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

Forms and Documents

Document Name	Status
3235-0128 30 Day Notice.pdf Supplementary Document	2021-04-02
3235-0128 60 Day Notice.pdf Supplementary Document	2021-04-02
DGL REVISED FINAL 2021 12f-1 Supporting Statement.pdf Supporting Statement A	2021-01-08

IC Document Collections

IC ID	Document Title	Status
34412	Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)	Modified

ICR Details

OMB Control No: 3235-0128	ICR Reference No: 202101-3235-002
Status: Received in OIRA	Previous ICR Reference No: 201802-3235-013
Agency/Subagency: SEC	Agency Tracking No: TM-270-139
Title: Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 04/02/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2021
Responses	24	21
Time Burden (Hours)	24	21
Cost Burden (Dollars)	0	0

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Abstract: 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.

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Authorizing Statute(s): 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
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 6403	01/21/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 17222	04/01/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

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

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ICR Summary of Burden

	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

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burden from 21 to 24 hours reflects an increase in the overall number of national securities exchanges from 21 to 24.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 04/02/2021

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