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 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
Revision of a currently approved collection
No
Regular
06/12/2025
Requested
Previously Approved
04/30/2026
04/30/2026
4,602
4,602
69,259
69,259
2,090,550
2,090,550
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 IC1 - Electronic Filing of Proposed Rule Changes
3235-0045 Supporting Statement (2025) Final.pdf
IC1 - Electronic Filing of Proposed Rule Changes