Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934

Forms and Documents

Document	Type	Status	Availability
Form SEC 2568 (11-02) Form 1-N	Form and Instruction	Modified	Available
Form SEC 2568 (11-02) Form 1-N	Form and Instruction	Modified	Available
Form SEC 2568 (11-02) Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)	Form and Instruction	Modified	Repair queued
3235-0554 Supporting Statement (2023 PTE Proposal).pdf	Supporting Statement A	Uploaded 2023-06-25	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
35382	Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)	Form and Instruction	Modified	Form 1-N
35382	Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)	Form and Instruction	Modified	Form 1-N
35382	Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)	Form and Instruction	Modified
207356	Rule 6a-4 (Three year amendments)		Modified
207355	Rule 6a-4 (One year amendments)		Modified
192665	Rule 6a-4 (Periodic Reporting)		Modified

ICR Details

OMB Control No: 3235-0554	ICR Reference No: 202306-3235-024
Status: Historical Inactive	Previous ICR Reference No: 202210-3235-024
Agency/Subagency: SEC	Agency Tracking No: TM-270-496
Title: Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 08/15/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/26/2023
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule. SEC should double check consistency between all supporting statement and ROCIS hourly burden in the final submission.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2026	04/30/2026	04/30/2026
Responses	29	0	29
Time Burden (Hours)	92	0	92
Cost Burden (Dollars)	696	0	696

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Abstract: Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act. The SEC recently proposed to amend Rule 6a-4, as well as Form 1-N and the instructions to Form 1-N, to require the electronic filing on the Electronic Data Gathering, Analysis, and Retrieval system (“EDGAR”) of all submissions required by the rule and forms. The SEC believes that, among other benefits, these proposed amendments should increase efficiencies and decrease overall burdens related to the filing of these forms. Filing on EDGAR should require less time than preparing and submitting paper filings.

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Authorizing Statute(s): US Code: 15 USC 78f(g) 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:
3235-AL85	Proposed rulemaking	88 FR 23290	04/18/2023

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Rule 6a-4 (One year amendments)
Rule 6a-4 (Periodic Reporting)
Rule 6a-4 (Three year amendments)
Rule 6a-4 and Form 1-N (File Amendment to Form 1-N)	SEC 2568 (11-02), SEC 2568 (11-02)	Form 1-N ,   Form 1-N

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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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission estimates that the proposed electronic filing requirement for the form would reduce the hour and cost burdens. These are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government: $13,226

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: 06/26/2023

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