Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
ICR 202501-3235-026 · OMB 3235-0045 · Active
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0045 can be found here:
Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
Rule 19b-4, 17 CFR 240.19b-4, requires each self-regulatory organization to file with the Commission on Form 19b-4 any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. The rule is designed to allow the Commission to review proposed rule changes and to solicit public comment on whether they should be approved or disapproved.
2025 AMENDMENT: The Commission recently adopted amendments to the rule and form related to signature requirements. However, the amendments do not change the estimated burden of the collection of information. The amended Rule 19b-4(j) will no longer require that the signatory to an electronically submitted Form 19b-4 manually sign a signature page or other document authenticating, acknowledging, or otherwise adopting his or her signature that appears in typed form within the electronic filing, execute that document before or at the time the rule filing is electronically submitted, and retain that document for its records in accordance with Rule 17a-1. The amended Form 19b-4 and the instructions to Form 19b-4 will no longer require that a duly authorized officer of the SRO manually sign one copy of the completed Form 19b-4 and that the manually signed signature page be maintained pursuant to section 17 of the Exchange Act.
US Code:
15 USC 78s(b)
Name of Law: Section 916 of the Dodd-Frank Act
US Code:
15 USC 78c-3(b)(2)
Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code:
15 USC 78c-3(b)(5)
Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code:
15 USC 78s(b)(1)
Name of Law: 15 USC 78s(b)(1) Section 19b-1 of the Securities Exchange Act of 1934
US Code:
12 USC 5465
Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code:
15 USC 78c-3(c)(1)
Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code:
15 USC 78c-3(c)(4)
Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
US Code: 15 USC 78s(b)(1) Name of Law: Section 19b-1 of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
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.
Form SEC 1832 Form 19b-4
3235-0045 Supporting Statement (2025) Final.pdf
IC1 - Electronic Filing of Proposed Rule Changes