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OMB Control No: 3235-0385	ICR Reference No: 202606-3235-016
Status: Received in OIRA	Previous ICR Reference No: 202308-3235-013
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities
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: 09/03/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	25,272	27,300
Time Burden (Hours)	12,636	13,650
Cost Burden (Dollars)	0	0

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	25,272	27,300	-2,028
Annual Time Burden (Hours)	12,636	13,650	-1,014
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 total annual burden hours decreased from 13,650 to 12,636 due to a decrease in the number of registered broker-dealers we estimate will be engaged in penny stock transactions from 175 to 162.

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: Jane Wetterau 202 551-4483

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