Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934

Forms and Documents

Document Name	Status
2013 Form 1-N Justification.pdf Supporting Statement A	2013-08-29

IC Document Collections

IC ID	Document Title	Status
35382	Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 (File Amendment to Form 1-N)	Modified
207356	Rule 6a-4 under the Securities Exchange Act of 1934 (Three year amendments)	New
207355	Rule 6a-4 under the Securities Exchange Act of 1934 (One year amendments)	New
192665	Rule 6a-4 under the Securities Exchange Act of 1934 (Periodic Reporting)	Modified

ICR Details

OMB Control No: 3235-0554	ICR Reference No: 201306-3235-003
Status: Historical Active	Previous ICR Reference No: 201004-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-496
Title: Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934
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: 12/05/2013
	Date Received in OIRA: 08/29/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2016	36 Months From Approved	12/31/2013
Responses	108	0	78
Time Burden (Hours)	182	0	83
Cost Burden (Dollars)	1,376	0	675

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Abstract: Rule 6a-4 directs certain futures markets that wish to trade security futures products to register with the Commission on Form 1-N. The rule is designed to provide the Commission with information that would help enable it to ensure that the activities of these Security Futures Product Exchanges were consistent with the Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 78f(g) 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:
	78 FR 36797	06/19/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 52583	08/23/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Rule 6a-4 under the Securities Exchange Act of 1934 (One year amendments)
Rule 6a-4 under the Securities Exchange Act of 1934 (Three year amendments)
Rule 6a-4 under the Securities Exchange Act of 1934 (Periodic Reporting)
Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 (File Amendment to Form 1-N)

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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	108	78	0	0	30	0
Annual Time Burden (Hours)	182	83	0	0	99	0
Annual Cost Burden (Dollars)	1,376	675	0	0	701	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: The original estimates provided that after the first seven respondents file, the SEC believes that additional entities would file an initial Form 1-N on an extremely infrequent basis, if ever. This submission provides that the SEC continues to believe that additional entities would file an initial Form 1-N on an extremely infrequent basis, if ever, based upon its experience over the last few years with initial Form 1-N filings. In addition, the SEC has analyzed the number of Security Futures Product Exchanges that have listed and traded security futures products and, based on that analysis, has determined that three Security Futures Product Exchanges are likely to continue making amendments and updates to their Form 1-N and continue providing periodic information and monthly reports. The burden estimates above associated with amendments and updates to the Form 1-N and the submission of periodic and monthly reports are applied to the existing Security Futures Product Exchanges that file such reports currently.

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Annual Cost to Federal Government: $6,403

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]? 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? 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: 08/29/2013

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