Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification

ICR 202202-3235-027

OMB: 3235-0259

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2022-05-10
Supplementary Document
2022-05-10
Supporting Statement A
2022-02-24
Supplementary Document
2019-05-23
ICR Details
3235-0259 202202-3235-027
Received in OIRA 201902-3235-005
SEC TM-240-247
Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification
Extension without change of a currently approved collection   No
Regular 05/10/2022
  Requested Previously Approved
36 Months From Approved 07/31/2022
1,060 1,060
47,280 47,280
0 0

Rule 19h-1 under the Securities Exchange Act prescribes the form and content of notices and applications by self-regulatory organizations (SROs) regarding proposed admissions to, or continuances in, membership, participation of association with a member of any person subject to a statutory disqualification. The principal purpose of Rule 19h-1 is to provide the Commission with an opportunity to ensure persons subject to statutory disqualification are not permitted to enter or to continue in the securities industry without the Commission's review of whether the entry or continuance is consistent with the public interest and the protection of investors. The information must be provided when persons who are subject to statutory disqualification seek to enter or to continue in the securities business.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 193412
  
None

Not associated with rulemaking

  87 FR 11763 03/02/2022
87 FR 28063 05/10/2022
No

  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 1,060 1,060 0 0 0 0
Annual Time Burden (Hours) 47,280 47,280 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
    Yes
    No
No
No
No
No
Edward Schellhorn 202 551-3841 [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.
05/10/2022


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