View Information Collection Request (ICR) Package
Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
3235-0554
ICR Reference No:
201004-3235-002
Status:
Historical Active
Previous ICR Reference No:
200705-3235-002
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-496
Title:
Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
08/16/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/08/2010
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2013
36 Months From Approved
11/30/2010
Responses
78
0
7
Time Burden (Hours)
83
0
1,348
Cost Burden (Dollars)
675
0
13,741
Abstract:
Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act.
Authorizing Statute(s):
US Code:
15 USC 78f(g)
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:
75 FR 22636
04/29/2010
30-day Notice:
Federal Register Citation:
Citation Date:
75 FR 39287
07/08/2010
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
2
IC Title
Form No.
Form Name
Rule 6a-4 under the Securities Exchange Act of 1934 (Periodic Reporting)
Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 (File Amendment to Form 1-N)
Form 1-N
Form 1-N
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
78
7
0
0
71
0
Annual Time Burden (Hours)
83
1,348
0
0
-1,265
0
Annual Cost Burden (Dollars)
675
13,741
0
0
-13,066
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:
The reason for hte reduction in burden is in part because as previously submitted, all ICs as part of this ICR were consolidated into one IC. We have now broken the IC into three parts, only two of which (filing amendments and periodic reporting) will have burdens under the ICR. In its most recent Paperwork Reduction Act submission, the SEC stated that after the first seven respondents file, the SEC believes that additional entities would file an initial Form 1-N on an extremely infrequent basis, if ever. The SEC continues to believe that such filings would be infrequent, if ever. Therefore, the Commission estimates that the burden is 0 hours. Moreover, the previous PRA submission the SEC estimated that there would be 7 respondents to the amendment and periodic reporting requirements of this SRA. However, in the last few years, only three respondents have filed amendments to Form 1-N with the SEC. Therefore, the SEC has changed the IC to reflect its estimate that only these three respondents will continue to file such amendments. Further, the SEC estimates that these three exisiting respondents will be the only respondents who will comply with Rule 6a-4 periodic reporting requirements, and have revised the IC accordingly.
Annual Cost to Federal Government:
$3,295
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]?
No
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:
Steve Varholik 2025515615
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:
07/08/2010
An official website of the United States government
The .gov means it's official.
The site is secure.
