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 (17 CFR 240.19d
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 (17 CFR 240.19d
Extension without change of a currently approved collection
No
Regular
06/17/2022
Requested
Previously Approved
36 Months From Approved
08/31/2022
32
40
288
360
135,936
169,920
Rule 19d-3 prescribes the form and
content of the applications to the Commission for review of final
disciplinary sanctions, denials of membership, participation or
association or prohibitions or limitations of access to services
imposed by self-regulatory organizations.
The hour and cost burdens
decreased because the estimated number of respondents decreased
from 40 to 32 overall, the estimated number of respondents drafting
applications themselves decreased from 20 to 16, and the estimated
number of respondents hiring outside counsel to draft applications
decreased from 20 to 16.
$0
No
No
No
No
No
No
No
Catherine Moore 202 551-5718
mooreca@sec.gov
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.