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:
202501-3235-026
Status:
Active
Previous ICR Reference No:
202304-3235-017
Agency/Subagency:
SEC
Agency Tracking No:
TM
Title:
Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
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:
07/29/2025
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
04/30/2026
04/30/2026
04/30/2026
Responses
4,602
0
4,602
Time Burden (Hours)
69,259
0
69,259
Cost Burden (Dollars)
2,090,550
0
2,090,550
Abstract:
Rule 19b-4, 17 CFR 240.19b-4, requires each self-regulatory organization to file with the Commission on Form 19b-4 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. 2025 AMENDMENT: The Commission recently adopted amendments to the rule and form related to signature requirements. However, the amendments do not change the estimated burden of the collection of information. The amended Rule 19b-4(j) will no longer require that the signatory to an electronically submitted Form 19b-4 manually sign a signature page or other document authenticating, acknowledging, or otherwise adopting his or her signature that appears in typed form within the electronic filing, execute that document before or at the time the rule filing is electronically submitted, and retain that document for its records in accordance with Rule 17a-1. The amended Form 19b-4 and the instructions to Form 19b-4 will no longer require that a duly authorized officer of the SRO manually sign one copy of the completed Form 19b-4 and that the manually signed signature page be maintained pursuant to section 17 of the Exchange Act.
Authorizing Statute(s):
US Code:
15 USC 78c-3(b)(5)
Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code:
15 USC 78s(b)
Name of Law: Section 916 of the Dodd-Frank Act
US Code:
15 USC 78c-3(b)(2)
Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code:
15 USC 78s(b)(1)
Name of Law: 15 USC 78s(b)(1) Section 19b-1 of the Securities Exchange Act of 1934
US Code:
12 USC 5465
Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code:
15 USC 78c-3(c)(1)
Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code:
15 USC 78c-3(c)(4)
Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
Citations for New Statutory Requirements:
US Code: 15 USC 78s(b)(1) Name of Law: Section 19b-1 of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(2) Name of Law: Section 3C(b)(2) of the Securities Exchange Act of 1934
US Code: 15 USC 78c-3(b)(5) Name of Law: Section 3C(b)(5) of the Securities Exchange Act of 1934
US Code: 12 USC 5465 Name of Law: Section 806(e) of the Payment, Clearing and Settlement Supervision Act
US Code: 15 USC 78c-3(c)(1) Name of Law: Section 3C(c)(1) of the Securities Exchange Act of 1934
US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
US Code: 15 USC 78c-3(c)(4) Name of Law: Section 3C(c)(4) of the Securities Exchange Act of 1934
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:
18
IC Title
Form No.
Form Name
IC1 - Electronic Filing of Proposed Rule Changes
SEC 1832
Form 19b-4
IC10 - Rule 19b-4(n)(1) Advance Notice Filings
IC11 - Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board
IC12 - Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes
IC13 - Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites
IC14 - Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites
IC15 - Rule 19b-4(n)(4) Designated Clearing Agency Website Posting of Notice of Change to Rules, Procedures, or Operations Referred to in Advance Notices
IC16 - Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies
IC17 - Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties
IC18 - Amendment to Conform to Section 916 of the Dodd-Frank Act
IC2 - SRO Website Posting of Proposed Rule Change Filings
IC3 - SRO Website Postings of Proposed Rule Change Filings
IC4 - Training of National Securities Exchange Staff to use EFFS
IC5 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered National Securities Exchanges
IC6 - Annual Training to Update SRO Staff on Use of EFFS
IC7 - Training of Security-Based Swap Clearing Agency Staff to use EFFS
IC8 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies
IC9 - Rule 19b-4(o)(1) - Security-Based Swap Submissions
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
4,602
4,602
0
0
0
0
Annual Time Burden (Hours)
69,259
69,259
0
0
0
0
Annual Cost Burden (Dollars)
2,090,550
2,090,550
0
0
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:
No
Burden Reduction Due to:
Short Statement:
Annual Cost to Federal Government:
$16,599,819
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]?
Yes
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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