OMB control number
Rule 204
OMB 3235-0647 · SEC.
OMB 3235-0647
Rule 204 is intended to help further the Commissions goal of reducing fails to deliver by maintaining the reductions in fails to deliver achieved by the adoption of temporary Rule 204T, as well as other actions taken by the Commission. In addition, Rule 204 is intended to help further the Commissions goal of addressing abusive naked short selling in all equity securities. The information collected will continue to assist the Commission and self-regulatory organizations in monitoring whether or not participants of a registered clearing agency, and the broker-dealers from which they receive trades for clearance and settlement, are complying with the close-out and borrowing requirements of the rule.
The latest form for Rule 204 expires 2028-03-31 and is listed under ICR 202410-3235-002.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 2024 12 26_89 FR 105152_3235-0647_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 89 FR 83930 (OMB 3235–0647).pdf | Supplementary Document |
| 2024 204 Supporting Statement.pdf | Supporting Statement A |
 Pre-fail demonstration requirement |
Information collection |
| Certification requirement |
Information collection |
| Pre borrow notification requirement |
Information collection |
| Demonstration requirement for fails to deliver on long sales |
Information collection |
| Allocation notificiation requirement |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202410-3235-002 | Extension without change of a currently approved collection | 2024-12-26 | ||
| 202112-3235-002 | Extension without change of a currently approved collection | 2022-01-20 | Approved without change | |
| 201808-3235-031 | Extension without change of a currently approved collection | 2018-11-14 | Approved without change | |
| 201505-3235-023 | Extension without change of a currently approved collection | 2015-10-08 | Approved without change | |
| 201206-3235-003 | Extension without change of a currently approved collection | 2012-08-24 | Approved without change | |
| 200909-3235-010 | Extension without change of a currently approved collection | 2009-10-09 | Approved without change | |
| 200904-3235-016 | Revision of a currently approved collection | 2009-04-24 | Approved without change | |
| 200810-3235-005 | New collection (Request for a new OMB Control Number) | 2008-10-14 | Preapproved |
OMB Details
Allocation notificiation requirement
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight