Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 3235-0504 FORM 19b-4(e)	Form and Instruction	Modified	Available
Form 3235-0504 Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	Form and Instruction	Modified	Repair queued
3235-0504.pdf	Supplementary Document	Uploaded 2022-08-12	Repair queued
3235-0504.pdf	Supplementary Document	Uploaded 2022-08-12	Repair queued
DGL REVISED 2022 Rule 19b-4(e) 2022 Supporting Statement.pdf	Supporting Statement A	Uploaded 2022-06-01	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35272	Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	Form and Instruction	Modified	FORM 19b-4(e)
35272	Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0504	ICR Reference No: 202205-3235-034
Status: Historical Active	Previous ICR Reference No: 201905-3235-012
Agency/Subagency: SEC	Agency Tracking No: TM-270-447
Title: Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
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: 10/31/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/12/2022
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	2,331	0	5,122
Time Burden (Hours)	2,331	0	5,122
Cost Burden (Dollars)	0	0	0

---

Abstract: Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of 1934.

---

Authorizing Statute(s): US Code: 15 USC 78s(b) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 34736	06/07/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 49894	08/12/2022
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	3235-0504	FORM 19b-4(e)

---

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	2,331	5,122	0	0	-2,791	0
Annual Time Burden (Hours)	2,331	5,122	0	0	-2,791	0
Annual Cost Burden (Dollars)	0	0	0	0	0	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 Commission staff has increased its estimate of the overall number of respondents from 22 to 24 since there are currently 24 SROs that are subject to the reporting requirements of Rule 19b-4(e). The staff has decreased its estimate of the overall number of responses expected annually from 5,122 to 2,331, based on the number of new derivative securities products that were reported to the Commission in years 2019, 2020 and 2021. Thus, the estimated number of annual responses per respondent has decreased from 232.8 to 97.12 and the total estimated annual time burden has decreased from 5,122 hours to 2,331 hours.

---

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

---

Common Form ICR:  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:

(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: 08/12/2022

---