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:
3235-0504
ICR Reference No:
200904-3235-019
Status:
Historical Active
Previous ICR Reference No:
200701-3235-035
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-447
Title:
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
06/18/2009
Retrieve Notice of Action (NOA)
Date Received in OIRA:
04/30/2009
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2010
08/31/2010
08/31/2010
Responses
300
0
50
Time Burden (Hours)
300
0
50
Cost Burden (Dollars)
0
0
11,975
Abstract:
Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of 1934.
Authorizing Statute(s):
US Code:
15 USC 78s(b)
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 4737
02/01/2007
30-day Notice:
Federal Register Citation:
Citation Date:
72 FR 19986
04/20/2007
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(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
19b-4(e)
Form 19b-4(e)
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
300
50
0
0
250
0
Annual Time Burden (Hours)
300
50
0
0
250
0
Annual Cost Burden (Dollars)
0
11,975
0
0
-11,975
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:
No
Burden Reduction Due to:
Short Statement:
This non-substantive revision to the annual number of responses associated with the information collection for Rule 19b-4(e) reflects recently discovered information by the Commission staff regarding the actual number of Rule19b-4(e) responses filed with the Commission. In addition, this non-substantive revision to the cost burden is meant to correct the figures in the approved collection which inadvertently included costs that are associated with the hourly burden as a cost burden. The current approved estimate for the annual number of responses for all respondents under Rule 19b-4(e) is 50. The Commission staff has reviewed data relating to the actual number of Rule 19b-4(e) responses filed with the Commission and has determined that the estimate of 50 annual responses should be increased to 300 annual responses. Under this revised estimate, the annual time burden for all respondents increases to 300 hours. In addition, the current approved estimate for the annual cost burden is $11,975.00. This cost is associated with the hourly burden and was inadvertently included as a cost burden. Therefore, the Commission staff has determined that the cost burden should be decreased to $0. These revisions are included in this submission to OMB. These revisions represent an increase of 250 hours in the total estimated annual hourly burden and a decrease in the total estimated cost burden of $11,975.00 associated with the information collection for Rule 19b-4(e). The time and cost estimates per response remain unchanged.
Annual Cost to Federal Government:
$4,350
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)?
No
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:
04/30/2009
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