Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))

Forms and Documents

Document Name	Status
Form SEC 2449 (6-01) Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e)) Form	Modified
Form 19b-4(e) 2010 PRA Supp statement.doc Supporting Statement A	2010-01-21

IC Document Collections

IC ID	Document Title	Status
35272	Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e)) Form	Modified

ICR Details

OMB Control No: 3235-0504	ICR Reference No: 201001-3235-012
Status: Historical Active	Previous ICR Reference No: 200904-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM-270-447
Title: Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
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: 05/08/2010
	Date Received in OIRA: 04/01/2010
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2013	36 Months From Approved	08/31/2010
Responses	3,180	0	300
Time Burden (Hours)	3,180	0	300
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 19b-4(e) permits a self-regulatory organization to list and trade new derivative securities products, subject to existing trading rules, regulations, surveillance procedures, and listing standards, without submitting a rule filing for Commission approval pursuant to Section 19(b) of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78s(b) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 4883	01/29/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 16528	04/01/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	SEC 2449 (6-01)	Form 19b-4(e)

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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	3,180	300	0	0	2,880	0
Annual Time Burden (Hours)	3,180	300	0	0	2,880	0
Annual Cost Burden (Dollars)	0	0	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: There are currently 12 self regulatory organizations which may be subject to the reporting requirements of Rule 19b-4(e). In proposing the adoption of Rule 19b-4(e) and Form 19b-4(e), Commission staff estimated that each respondent would require two hours to complete and submit a Form 19b-4(e), and that there would be an aggregate of 45 such filings per year by all respondents. The Commission’s experience since the adoption of Rule 19b-4(e) and Form 19b-4(e), however, was that the total time required to complete each filing is closer to one hour and the expected number of filings in a year is 3,180.

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Annual Cost to Federal Government: $13,250

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 04/01/2010

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