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:
202408-3235-013
Status:
Active
Previous ICR Reference No:
202302-3235-024
Agency/Subagency:
SEC
Agency Tracking No:
TM
Title:
Rule 19b-4(e) under the Securities Exchange Act of 1934
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:
07/11/2025
Retrieve Notice of Action (NOA)
Date Received in OIRA:
06/12/2025
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
10/31/2025
10/31/2025
10/31/2025
Responses
2,355
0
2,331
Time Burden (Hours)
2,343
0
2,331
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 19b-4(e), 17 CFR 240.19b-4(e), permits a self-regulatory organization (SRO) to list and trade a new derivative securities product without submitting a proposed rule change pursuant to Section 19(b) of the Securities Exchange Act of 1934, so long as such product meets the criteria of Rule 19b-4. Rule 19b-4(e) requires a respondent SRO to file a summary form, Form 19b-4(e), to notify the Commission within five business days of beginning to trade such new derivative securities product. The collection of information is a reporting and recordkeeping requirement and is used to maintain an accurate record of all new derivative securities products traded on the SROs. 2025 REVISION: The Commission recently amended Rule 19b-4(e) to rescind Form 19b-4(e). The rule now requires an SRO to publicly report certain information on its internet website using the most recent versions of the XML schema and the associated PDF renderer as published on the Commission's website for each new derivative securities product within five business days of beginning to trade such new derivative securities product.
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:
3235-AL85
Final or interim final rulemaking
90 FR 7250
01/21/2025
Federal Register Notices & Comments
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 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
Rule 19b-4(e)-- Initial Response
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
2,355
2,331
0
24
0
0
Annual Time Burden (Hours)
2,343
2,331
0
12
0
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Changing Regulations
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The Commission estimates that the burden of this collection of information would increase by twelve bours as a result of the rule amendment. Specifically, we have added a new estimated burden for an initial response. The Commission estimates that the ongoing burden, which is currently in this OMB number, would be unchanged.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
No
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
No
Agency Contact:
Cristie March 202 551-5574 marchc@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:
06/12/2025
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