[Federal Register Volume 84, Number 110 (Friday, June 7, 2019)]
[Notices]
[Pages 26710-26711]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-12038]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 
20549-2736.

Extension:
    Rule 19d-1; SEC File No. 270-242, OMB Control No. 3235-0206

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 19d-
1 (17 CFR 240.19d-1) under the Securities Exchange Act of 1934 (17 
U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 19d-1 prescribes the form and content of notices to be filed 
with the Commission by self-regulatory organizations (``SROs'') for 
which the Commission is the appropriate regulatory agency concerning 
the following final SRO actions: (1) Disciplinary actions with respect 
to any person; (2) denial, bar, prohibition, or limitation of 
membership, participation or association with a member or of access to 
services offered by an SRO or member thereof; (3) summarily suspending 
a member, participant, or person associated with a member, or summarily 
limiting or prohibiting any persons with respect to access to or 
services offered by the SRO or a member thereof; and (4) delisting a 
security.
    The Rule enables the Commission to obtain reports from the SROs 
containing information regarding SRO determinations to delist a 
security, discipline members or associated persons of members, deny 
membership or participation or association with a member, and similar 
adjudicated findings. The Rule requires that such actions be promptly 
reported to the Commission. The Rule also requires that the reports and 
notices supply sufficient information regarding the background, factual 
basis and issues involved in the proceeding to enable the Commission: 
(1) To determine whether the matter should be called up for review on 
the Commission's own motion; and (2) to ascertain generally whether the 
SRO has adequately carried out its responsibilities under the Exchange 
Act.
    It is estimated that approximately eighteen respondents will 
utilize this application procedure annually, and will file 
approximately 1,350 submissions, based upon recent data. The Commission 
estimates that the average number of hours necessary to comply with the 
requirements of Rule 19d-1 for each submission is 1 hour. The total 
annual burden for all respondents is thus 1,350 hours. The

[[Page 26711]]

Commission estimates that the internal compliance cost per respondent 
is approximately $298 per response. The annual internal cost of 
compliance for all respondents is thus approximately $402,300 (18 
respondents x 75 responses x $298 per response).
    The filing of notices pursuant to Rule 19d-1 is mandatory for the 
SROs, but does not require the collection of confidential information.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    The public may view background documentation for this information 
collection at the following website, www.reginfo.gov. Comments should 
be directed to: (i) Desk Officer for the Securities and Exchange 
Commission, Office of Information and Regulatory Affairs, Office of 
Management and Budget, Room 10102, New Executive Office Building, 
Washington, DC 20503 or by sending an email to: 
Lindsay.M.Abate@omb.eop.gov; and (ii) Charles Riddle, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o 
Candace Kenner, 100 F Street NE, Washington, DC 20549, or by sending an 
email to: PRA_Mailbox@sec.gov. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: June 4, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-12038 Filed 6-6-19; 8:45 am]
BILLING CODE 8011-01-P


