View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0045
ICR Reference No:
200711-3235-006
Status:
Historical Active
Previous ICR Reference No:
200410-3235-013
Agency/Subagency:
SEC
Agency Tracking No:
270-38
Title:
Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
03/18/2008
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/30/2008
Terms of Clearance:
In its next submission, the agency should remove the cost burdens because they are a monetization of the burden hours. The agency is reminded to avoid such double-counting of burden in the future.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
03/31/2011
36 Months From Approved
03/31/2008
Responses
1,279
0
1,279
Time Burden (Hours)
29,698
0
38,771
Cost Burden (Dollars)
7,866,246
0
0
Abstract:
Rule 19b-4, as amended by the Securities Exchange Act Amendments of 1975, requires each self-regulatory organization to file with the Commission on Form 19b-4 copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. The rule is designed to allow the Commission to review proposed rule changes and to solicit public comment on whether they should be approved or disapproved.
Authorizing Statute(s):
US Code:
15 USC 78c, 78d, 78i, 78j, 78l, 78m,
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
72 FR 67767
11/30/2007
30-day Notice:
Federal Register Citation:
Citation Date:
73 FR 5245
01/29/2008
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Rule 19b-4 Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
19B-4
Form 19B-4
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
1,279
1,279
0
0
0
0
Annual Time Burden (Hours)
29,698
38,771
0
-9,073
0
0
Annual Cost Burden (Dollars)
7,866,246
0
0
7,866,246
0
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
Yes
Burden Reduction Due to:
Miscellaneous Actions
Short Statement:
Changes from the last PRA submission are the result of new estimates and updating of per hour costs to reflect current economic conditions. The total annual cost burden of $7,866,242 is calculated on the basis of 27,671 hours of legal/paralegal work at $269.70/hour ($7,462,869) plus 2,027 hours of programming work at $199/hour ($403,373). In anticipation of amendments to Rule 19b-4, a preapproval was issued in June 2007 for an annual cost burden of $7,454,664. In 2004, no annual cost burden was reported.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
Uncollected
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Michou Hai Minh Nguyen 202 551-5634 nguyenm@sec.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
01/30/2008
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