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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0204.pdf	Supplementary Document	Uploaded 2022-06-17	Repair queued
3235-0204.pdf	Supplementary Document	Uploaded 2022-06-17	Repair queued
DGL REVISED 2022 Rule 19d-3 justification (2022).pdf	Supporting Statement A	Uploaded 2022-04-05	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34571	Rule 19d-3-Self-Filed Applications		Modified
235482	19d-3 Outside Counsel Applications		Modified

ICR Details

OMB Control No: 3235-0204	ICR Reference No: 202203-3235-016
Status: Historical Active	Previous ICR Reference No: 201903-3235-021
Agency/Subagency: SEC	Agency Tracking No: TM-270-245
Title: 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
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/11/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/17/2022
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2025	36 Months From Approved	10/31/2022
Responses	32	0	40
Time Burden (Hours)	288	0	360
Cost Burden (Dollars)	135,936	0	169,920

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Abstract: 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.

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Authorizing Statute(s): US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: Securities Exchange Act of 1934
  

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:
	87 FR 21942	04/13/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 36555	06/17/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

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

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ICR Summary of Burden

table that charts list of burden

	Total Approved	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

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 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.

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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: 06/17/2022

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