Rule 19d-3-Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations (17 CFR 240.19d

ICR 202203-3235-016

OMB: 3235-0204

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
IC Document Collections
IC ID
Document
Title
Status
34571
Modified
235482
Modified
ICR Details
3235-0204 202203-3235-016
Received in OIRA 201903-3235-021
SEC TM-270-245
Rule 19d-3-Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations (17 CFR 240.19d
Extension without change of a currently approved collection   No
Regular 06/17/2022
  Requested Previously Approved
36 Months From Approved 08/31/2022
32 40
288 360
135,936 169,920

Rule 19d-3 prescribes the form and content of the applications to the Commission for review of final disciplinary sanctions, denials of membership, participation or association or prohibitions or limitations of access to services imposed by self-regulatory organizations.

US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  87 FR 21942 04/13/2022
87 FR 36555 06/17/2022
No

2
IC Title Form No. Form Name
19d-3 Outside Counsel Applications
Rule 19d-3-Self-Filed Applications

  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 32 40 0 0 -8 0
Annual Time Burden (Hours) 288 360 0 0 -72 0
Annual Cost Burden (Dollars) 135,936 169,920 0 0 -33,984 0
No
No
The hour and cost burdens decreased because the estimated number of respondents decreased from 40 to 32 overall, the estimated number of respondents drafting applications themselves decreased from 20 to 16, and the estimated number of respondents hiring outside counsel to draft applications decreased from 20 to 16.

$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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