Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security

ICR 202203-3235-015

OMB: 3235-0206

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2022-06-17
Supplementary Document
2022-06-17
Supporting Statement A
2022-04-05
Supplementary Document
2019-06-18
Supplementary Document
2019-06-18
ICR Details
3235-0206 202203-3235-015
Received in OIRA 201903-3235-020
SEC TM-270-242
Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security
Extension without change of a currently approved collection   No
Regular 06/17/2022
  Requested Previously Approved
36 Months From Approved 08/31/2022
912 1,350
912 1,350
0 0

Rule 19d-1 under the Securities Exchange Act of 1934 prescribes the form and content of notices to be filed with the Commission by self-regulatory organizations ("SROs") for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) disciplinary sanctions (including summary suspensions); (2) denials of membership, participation, or association with a member; and (3) prohibitions or limitations on access to SRO services and (4) delisting a security.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78,m, Name of Law: Securities Exchange Act of 19234
  
None

Not associated with rulemaking

  87 FR 21993 04/13/2022
87 FR 36555 06/17/2022
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 912 1,350 0 0 -438 0
Annual Time Burden (Hours) 912 1,350 0 0 -438 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The Commission revised the burden to reflect the recent number of notices received per year. In 2019 there were a total of 780 submissions, in 2020 there were a total of 823 submissions and 400 in 2021. As a conservative measure, we are using an estimate that is approximately 10 percent higher (rounded up) than the largest annual submissions number. This resulted in an average of 48 responses per respondent. In addition, we are increasing the estimated number of respondents from 18 to 19 because in the past three years 19 SROs submitted notices. The overall change is a decrease in the estimated annual time burden from 1,350 hours to 912 hours. The 438 hour decrease is due to the fact that while the estimated number of respondents has increased by one, the estimated number of responses per respondent has decreased from 75 to 48.

$0
No
    No
    No
No
No
No
No
Catherine Moore 202 551-5718 [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.
06/17/2022


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