19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification

Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Subject to a Statutory Disqualification

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0259 can be found here:

Documents and Forms

Document Name Document Type
SEC SORN 70.pdf SEC SORN 70 IC Document
SEC SORN 70.pdf SEC SORN 70 IC Document

Information Collection (IC) Details

IC Title:	19h-1(a) – Notice of proposed admission or continuance of a person, notwithstanding a statutory disqualification	Agency IC Tracking Number:	TM-240-247

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.19h-1(a)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-70	FR Citation: 83 FR 6892

Number of Respondents: 20	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Previously Approved
Annual Number of Responses for this IC	220	220
Annual IC Time Burden (Hours)	17,600	17,600
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
SEC SORN 70	SEC SORN 70.pdf	05/23/2019

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.