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

Forms and Documents

Document Name	Status
Form SEC 1832 IC1 - Electronic Filing of Proposed Rule Changes Form and Instruction	Modified
3235-0045 Supporting Statement (2025) Final.pdf Supporting Statement A	2025-06-11

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	Unchanged
203199	IC16 - Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies	Unchanged
203197	IC11 - Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board	Unchanged
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	Unchanged
203195	IC14 - Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites	Unchanged
203194	IC13 - Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites	Unchanged
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	Unchanged
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	Unchanged
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	Unchanged
197307	IC3 - SRO Website Postings of Proposed Rule Change Filings	Unchanged
197306	IC2 - SRO Website Posting of Proposed Rule Change Filings	Unchanged

ICR Details

OMB Control No: 3235-0045	ICR Reference No: 202501-3235-026
Status: Active	Previous ICR Reference No: 202304-3235-017
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: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/29/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/12/2025
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2026	04/30/2026	04/30/2026
Responses	4,602	0	4,602
Time Burden (Hours)	69,259	0	69,259
Cost Burden (Dollars)	2,090,550	0	2,090,550

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Abstract: Rule 19b-4, 17 CFR 240.19b-4, requires each self-regulatory organization to file with the 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 allow the Commission to review proposed rule changes and to solicit public comment on whether they should be approved or disapproved. 2025 AMENDMENT: The Commission recently adopted amendments to the rule and form related to signature requirements. However, the amendments do not change the estimated burden of the collection of information. The amended Rule 19b-4(j) will no longer require that the signatory to an electronically submitted Form 19b-4 manually sign a signature page or other document authenticating, acknowledging, or otherwise adopting his or her signature that appears in typed form within the electronic filing, execute that document before or at the time the rule filing is electronically submitted, and retain that document for its records in accordance with Rule 17a-1. The amended Form 19b-4 and the instructions to Form 19b-4 will no longer require that a duly authorized officer of the SRO manually sign one copy of the completed Form 19b-4 and that the manually signed signature page be maintained pursuant to section 17 of the Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 78s(b) Name of Law: Section 916 of the Dodd-Frank Act
   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)(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

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Final or interim final rulemaking	90 FR 7250	01/21/2025

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 18

IC Title	Form No.	Form Name
IC1 - Electronic Filing of Proposed Rule Changes	SEC 1832	Form 19b-4
IC10 - Rule 19b-4(n)(1) Advance Notice Filings
IC11 - Rule 19b-4(n)(5) Submission of Copies of Advance Notices to the Board
IC12 - Updating Clearing Agencies Websites to Provide Capability to Post Security-Based Swap Submissions, Advance Notices and Proposed Rule Changes
IC13 - Rule 19b-4(o)(5) Posting of Security-Based Swap Submissions on Security-Based Swap Clearing Agency Websites
IC14 - Rule 19b-4(n)(3) Posting of Advance Notices on Designated Clearing Agency Websites
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
IC16 - Rule 3Ca-1 Stay of Clearing Requirement Information - Clearing Agencies
IC17 - Rule 3Ca-1 Stay of Clearing Requirement Information - Counterparties
IC18 - Amendment to Conform to Section 916 of the Dodd-Frank Act
IC2 - SRO Website Posting of Proposed Rule Change Filings
IC3 - SRO Website Postings of Proposed Rule Change Filings
IC4 - Training of National Securities Exchange Staff to use EFFS
IC5 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered National Securities Exchanges
IC6 - Annual Training to Update SRO Staff on Use of EFFS
IC7 - Training of Security-Based Swap Clearing Agency Staff to use EFFS
IC8 - Drafting and Implementing Internal Policies and Procedures for Using EFFS by Newly-Registered Security-Based Swap Clearing Agencies
IC9 - Rule 19b-4(o)(1) - Security-Based Swap Submissions

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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	4,602	4,602	0	0	0	0
Annual Time Burden (Hours)	69,259	69,259	0	0	0	0
Annual Cost Burden (Dollars)	2,090,550	2,090,550	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:

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Annual Cost to Federal Government: $16,599,819

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

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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: 06/12/2025

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