Information Collection Request

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

ICR 202210-3235-021 · OMB 3235-0045 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0045 can be found here:

Forms and Documents

Document Name	Status
Form SEC 1832 IC1 - Electronic Filing of Proposed Rule Changes Form and Instruction	Modified
3235-0045.pdf Supplementary Document	2023-01-27
3235-0045.pdf Supplementary Document	2023-01-27
3235-0045 60 day notice.pdf Supplementary Document	2019-10-28
30 Day Notice 3235-0045.pdf Supplementary Document	2019-10-28
2022 19b-4 Supporting Statement.pdf Supporting Statement A	2022-10-14

IC Document Collections

IC ID	Document Title	Status
42938	IC1 - Electronic Filing of Proposed Rule Changes Form and Instruction	Modified
236888	IC5 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered National Securities Exchanges	Unchanged
236886	IC4 - Training of National Securities Exchange Staff to use EFFS	Unchanged
203201	IC18 - Amendment to Conform to Section 916 of the Dodd-Frank Act	Unchanged
203200	IC17 - Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties	Modified
203199	IC16 - Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies	Modified
203197	IC11 - Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board	Modified
203196	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	Modified
203195	IC14 - Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites	Modified
203194	IC13 - Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites	Modified
203193	IC12 - Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes	Unchanged
203192	IC10 - Rule 19b-4(n)(1) Advance Notice Filings	Modified
203190	IC8 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies	Unchanged
203189	IC6 - Annual Training to Update SRO Staff on Use of EFFS	Modified
203188	IC7 - Training of Security-Based Swap Clearing Agency Staff to use EFFS	Unchanged
203187	IC9 - Rule 19b-4(o)(1) - Security-Based Swap Submissions	Modified
197307	IC3 - SRO Website Postings of Proposed Rule Change Filings	Modified
197306	IC2 - SRO Website Posting of Proposed Rule Change Filings	Modified

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0045
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	201907-3235-001
Agency Tracking No	TM-270-038
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31