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Federal forms, ICRs, and supporting documents

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.

OMB 3235-0259

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 is listed under ICR 202502-3235-005.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2025 05 12_90 FR 20199_3235-0259_30-Day Submission Notice.pdf.pdfSupplementary Document
Supporting Statement_Rule 19h-1 (2025 Extension).pdfSupporting Statement A
Privacy Impact Assessment-M365.pdfSupplementary Document
Privacy Impact Assessment-M365.pdf Supplementary Document
2025 03 06_90 FR 11443_3235-0259_60-Day Collection Notice.pdfSupplementary Document
2025 03 06_90 FR 11443_3235-0259_60-Day Collection Notice.pdf Supplementary Document
19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification Information collection
19h-1(d) – Application for relief from certain statutory disqualifications Information collection
19h-1(b) – Notification of receipt of an application for admission to, or continuance in, participation or membership which would require a notice under 19h-1(a) Information collection
19h-1(a)(4) – Notification of proposed admission or continuance of a person pursuant to an exception from the notice requirements provided in 19h-1(a)(3)(ii), (iv), or (v) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202502-3235-005 Extension without change of a currently approved collection 2025-05-12
202202-3235-027 Extension without change of a currently approved collection 2022-05-10 Approved without change
202201-3235-001 Extension without change of a currently approved collection 2022-01-20 Withdrawn and continue
201902-3235-005 Extension without change of a currently approved collection 2019-05-23 Approved without change
201510-3235-013 Reinstatement without change of a previously approved collection 2016-02-01 Approved without change
200704-3235-018 Revision of a currently approved collection 2007-07-23 Approved without change
200406-3235-002 Extension without change of a currently approved collection 2004-06-01 Approved without change
200106-3235-011 Extension without change of a currently approved collection 2001-06-15 Approved without change
199805-3235-004 Extension without change of a currently approved collection 1998-05-12 Approved without change
199505-3235-003 Extension without change of a currently approved collection 1995-05-11 Approved without change
199207-3235-032 Extension without change of a currently approved collection 1992-07-23 Approved without change
198910-3235-014 Extension without change of a currently approved collection 1989-10-23 Approved without change
198904-3235-033 No material or nonsubstantive change to a currently approved collection 1989-04-10 Approved with change
198609-3235-002 Revision of a currently approved collection 1986-09-08 Approved without change
198308-3235-003 Revision of a currently approved collection 1983-08-08 Approved without change
198112-3235-004 New collection (Request for a new OMB Control Number) 1981-12-01 Approved without change

OMB Details

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

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