19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification

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

Documents and Forms

Document Name Document Type
SEC SORN 70.pdf SEC SORN 70 IC Document
SEC SORN 70.pdf SEC SORN 70 IC Document

Information Collection (IC) Details

IC Title:	19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification	Agency IC Tracking Number:	TM-240-247

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.19h-1(a)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-70	FR Citation: 83 FR 6892

Number of Respondents: 20	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	220	220
Annual IC Time Burden (Hours)	17,600	17,600
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
SEC SORN 70	SEC SORN 70.pdf	05/23/2019

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.