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

OMB 3235-0045

OMB 3235-0045

Section 19(b) of the Act (15 U.S.C. 78s(b)) requires each self-regulatory organization ("SRO") to file with the Commission copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. Rule 19b-4 implements the requirements of Section 19(b) by requiring the SROs to file their proposed rule changes on Form 19b-4 and by clarifying which actions taken by SROs are subject to the filing requirement set forth in Section 19(b). Rule 19b-4(n) requires a designated clearing agency to provide an advance notice to the Commission of any proposed change to its rules, procedures, or operations that could materially affect the nature or level of risks presented by such clearing agency. Rule 19b-4(o) requires a registered clearing agency to submit for a Commission determination any security-based swap, or any group, category, type, or class of security-based swaps it plans to accept for clearing, and provide notice to its members of such submissions.

The latest form for 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 expires 2023-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Form and Instruction
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2019-11-13
Approved without change
Extension without change of a currently approved collection 2016-08-26
Approved without change
No material or nonsubstantive change to a currently approved collection 2014-04-08
Approved with change
Extension without change of a currently approved collection 2013-05-14
Approved without change
Revision of a currently approved collection 2012-07-13
Approved without change
Extension without change of a currently approved collection 2011-07-28
Comment filed on proposed rule and continue
Revision of a currently approved collection 2011-01-18
Approved without change
Revision of a currently approved collection 2008-05-22
Approved without change
Revision of a currently approved collection 2008-01-30
Preapproved
Revision of a currently approved collection 2007-03-13
Approved without change
No material or nonsubstantive change to a currently approved collection 2004-10-12
Approved without change
Revision of a currently approved collection 2004-04-07
Approved without change
Revision of a currently approved collection 2001-05-18
Approved without change
Extension without change of a currently approved collection 2000-06-07
Approved without change
Extension without change of a currently approved collection 1997-07-10
Approved without change
Revision of a currently approved collection 1994-06-22
Approved without change
Revision of a currently approved collection 1993-08-04
Approved without change
Extension without change of a currently approved collection 1990-10-09
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-04
Approved without change
Revision of a currently approved collection 1987-09-22
Approved without change
Extension without change of a currently approved collection 1984-07-31
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-21
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-21
OMB Details

IC1 - Electronic Filing of Proposed Rule Changes

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 1832Form 19b-4www.sec.gov/files/form19b-4.pdfForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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