Rule 19d-3, Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations

Forms and Documents

Document Name	Status
20250806_3235-0204_2025-14930_90 FR 37918_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-08-07
2025 05 28_90 FR 22546_3235-0204_60-Day Collection Notice.pdf Supplementary Document	2025-05-28
3235-0204 Rule 19d-3 (2025 Extension).pdf Supporting Statement A	2025-05-20

IC Document Collections

IC ID	Document Title	Status
34571	Rule 19d-3, Self-Filed Applications	Modified
235482	Rule 19d-3, Outside Counsel Applications	Modified

ICR Details

OMB Control No: 3235-0204	ICR Reference No: 202504-3235-003
Status: Received in OIRA	Previous ICR Reference No: 202203-3235-016
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 19d-3, Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations
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: 08/07/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2025
Responses	25	32
Time Burden (Hours)	180	288
Cost Burden (Dollars)	127,440	135,936

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Abstract: Rule 19d-3 (17 CFR 240.19d-3) prescribes the form and content of the applications filed by persons with the Commission for review of final disciplinary sanctions. The Commission uses the information reported in the applications to review denials of membership, participation, bars from association, and prohibitions or limitations of access to services imposed by self-regulatory organizations.

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Authorizing Statute(s): US Code: 15 USC 78c Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78d Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78i Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78j Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78l Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78m 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:
	90 FR 22546	05/28/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 37918	08/06/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Rule 19d-3, Outside Counsel Applications
Rule 19d-3, Self-Filed Applications

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ICR Summary of Burden

	Total Request	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	25	32	0	-7	0	0
Annual Time Burden (Hours)	180	288	0	-108	0	0
Annual Cost Burden (Dollars)	127,440	135,936	0	-8,496	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The total estimated burden has decreased from 912 hours to 850 hours because the total number of submissions over the previous three years has decreased. The estimated burdens are discussed in more detail in the attached Supporting Statement.

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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

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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: 08/07/2025

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