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OMB Control No: 3235-0743	ICR Reference No: 202606-3235-015
Status: Received in OIRA	Previous ICR Reference No: 202308-3235-022
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15b9-1 – Exemption for Certain Exchange Members
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 09/14/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2026
Responses	6	34
Time Burden (Hours)	152	861
Cost Burden (Dollars)	0	0

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	6	34	-28
Annual Time Burden (Hours)	152	861	-709
Annual Cost Burden (Dollars)	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: The estimated total annual hour burden represents a decrease from the burden estimate previously submitted to OMB for the 2023 Adopted Amendments. The change in estimated burden is a result of a decrease in the estimated number of non-FINRA brokers or dealers that rely on the stock-option order exemption, from 17 to 3. As a result, the estimated total annual industry hourly burden changed from 816.39 hours to 152.01 hours, a decrease of 664.38 hours.

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: Cathy Lian 202 551-5936

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