OMB control number
Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification
OMB 3235-0259 · SEC.
Rule 19h-1 under the Securities Exchange Act (17 CFR 240.19h-1) explains what information the self-regulatory organizations (SROs) must include in their notices and applications to enable a statutorily disqualified person to associate, continue to associate, or continue membership with an SRO. The main purpose of Rule 19h-1 is to give the Commission a chance to review whether a person who is statutorily disqualified should be allowed to enter or to continue in the securities industry. This review helps to ensure their involvement is in the public interest and helps protect investors. This information must be submitted when the statutorily disqualified persons want to enter or continue working in the securities industry. The Rule 19h-1 information collection is a reporting requirement, and the respondents are the SROs.
The latest form for Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification expires 2028-08-31 and can be found here.
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Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
2025 05 12_90 FR 20199_3235-0259_30-Day Submission Notice.pdf.pdf
19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification 19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight