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OMB Control No: 3235-0045	ICR Reference No: 202512-3235-029
Status: Active	Previous ICR Reference No: 202501-3235-026
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: 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: 04/29/2026
	Date Received in OIRA: 03/13/2026
Terms of Clearance: OMB understands that SEC is in the process of revising its methodologies to estimate annualized costs to the Federal government for all its relevant collections of information. OMB anticipates that future extensions of this OMB control number will reflect the revised methodologies.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2029	36 Months From Approved	04/30/2026
Responses	4,985	0	4,602
Time Burden (Hours)	92,876	0	69,259
Cost Burden (Dollars)	1,264,032	0	2,090,550

Abstract: Rule 19b-4, 17 CFR 240.19b-1, under Section 19b-1 of the Securities Exchange Act of 1934 (Exchange Act) and requires each self-regulatory organization (SRO) to file with the Securities and Exchange Commission (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 provide the Commission with the information to determine whether a proposed rule change submitted by an SRO is consistent with the Exchange Act and the rules thereunder, and to provide information sufficient to elicit meaningful public comment on each proposal. Form 19b-4 also provides the Commission with information, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act), to determine whether a security-based swap is required to be cleared, and whether an SRO’s advance notice of a proposed rule change could materially affect the nature or level of risk presented by the SRO. Form 19b-4 is used for all SRO filings of proposed rule changes, security-based swap submissions, and advance notices.

Authorizing Statute(s): 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: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
   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:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 1016	01/09/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 12454	03/13/2026
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	4,985	4,602	383
Annual Time Burden (Hours)	92,876	69,259	23,617
Annual Cost Burden (Dollars)	1,264,032	2,090,550	-826,518

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: There have been changes in the estimated burdens primarily due to a change in the estimated number of respondents and the estimated number of responses. These are discussed in more detail in the attached Supporting Statement.

Annual Cost to Federal Government:

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: Cathy Lian 202 551-5936

View ICR - OIRA Conclusion