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

OMB 3235-0259

Rule 19h-1 under the Securities Exchange Act prescribes the form and content of notices and applications by self-regulatory organizations (SROs) regarding proposed admissions to, or continuances in, membership, participation of association with a member of any person subject to a statutory disqualification. The principal purpose of Rule 19h-1 is to provide the Commission with an opportunity to ensure persons subject to statutory disqualification are not permitted to enter or to continue in the securities industry without the Commission's review of whether the entry or continuance is consistent with the public interest and the protection of investors. The information must be provided when persons who are subject to statutory disqualification seek to enter or to continue in the securities business.

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 2022-07-31 and can be found here.

All Historical Document Collections
Extension without change of a currently approved collection 2022-05-10
Withdrawn and continue
Extension without change of a currently approved collection 2022-01-20
Approved without change
Extension without change of a currently approved collection 2019-05-23
Approved without change
Reinstatement without change of a previously approved collection 2016-02-01
Approved without change
Revision of a currently approved collection 2007-07-23
Approved without change
Extension without change of a currently approved collection 2004-06-01
Approved without change
Extension without change of a currently approved collection 2001-06-15
Approved without change
Extension without change of a currently approved collection 1998-05-12
Approved without change
Extension without change of a currently approved collection 1995-05-11
Approved without change
Extension without change of a currently approved collection 1992-07-23
Approved without change
Extension without change of a currently approved collection 1989-10-23
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-10
Approved without change
Revision of a currently approved collection 1986-09-08
Approved without change
Revision of a currently approved collection 1983-08-08
Approved without change
New collection (Request for a new OMB Control Number) 1981-12-01
OMB Details

19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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