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 202512-3235-029 · OMB 3235-0045 · Received in OIRA
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
Extension without change of a currently approved collection
No
Regular
03/13/2026
Requested
Previously Approved
36 Months From Approved
04/30/2026
4,985
4,602
92,876
69,259
1,264,032
2,090,550
Rule 19b-4, 17 CFR 240.19b-1, under Section 19b-1 of the Securities Exchange Act of 1934 (Exchange Act) and requires each self-regulatory organization (SRO) to file with the Securities and Exchange Commission (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 provide the Commission with the information to determine whether a proposed rule change submitted by an SRO is consistent with the Exchange Act and the rules thereunder, and to provide information sufficient to elicit meaningful public comment on each proposal. Form 19b-4 also provides the Commission with information, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act), to determine whether a security-based swap is required to be cleared, and whether an SRO’s advance notice of a proposed rule change could materially affect the nature or level of risk presented by the SRO. Form 19b-4 is used for all SRO filings of proposed rule changes, security-based swap submissions, and advance notices.
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)
Name of Law: Section 916 of the Dodd-Frank Act
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
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
There have been changes in the estimated burdens primarily due to a change in the estimated number of respondents and the estimated number of responses. These are discussed in more detail in the attached Supporting Statement.
No
No
No
No
Yes
No
No
Cathy Lian 202 551-5936
No
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:
(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;
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.
03/13/2026
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Form SEC 1832 Form 19b-4
IC1 - Electronic Filing of Proposed Rule Changes