OMB understands that SEC is in the process of revising its methodologies to estimate annualized costs to the Federal government for all its relevant collections of information. OMB anticipates that future extensions of this OMB control number will reflect the revised methodologies. Supporting statement updated during OMB review.
Inventory as of this Action
Requested
Previously Approved
11/30/2028
36 Months From Approved
11/30/2025
850
0
912
850
0
912
0
0
0
Rule 19d-1, 17 CFR 240.19d-1, under the Securities Exchange Act of 1934 prescribes the form and content of notices to be filed with the Commission by respondent self-regulatory organizations ("SROs") for which the Commission is the appropriate regulatory agency concerning the following final SRO actions: (1) disciplinary sanctions (including summary suspensions); (2) denials of membership, participation, or association with a member; and (3) prohibitions or limitations on access to SRO services and (4) delisting a security. The Commission uses the information reported in the notices to oversee the disciplinary activities of SROs.
The total estimated burden has decreased from 912 to 850 hours due to the fact that the number of submissions over the previous three years has decreased.
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.
20250806_3235-0206_2025-14931_90 FR 37929_30-Day Submission Notice.pdf.pdf
Rule 19d-1-Notices by Self-Regulatory Organizations of Final Disciplinary Actions, Denials, Bars, or Limitations Respecting Membership Association, Participation, or Access to Services, and