Rule 19b-4(e) under the Securities Exchange Act of 1934

Forms and Documents

Document Name	Status
20250925_3235-0504_2025-18644_90 FR 46286_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-09-25
20250722_3235-0504_2025-13718_90 FR 34536_60-Day Collection Notice.pdf Supplementary Document	2025-07-22
3235-0504 Supporting Statement (2025 Extension).pdf Supporting Statement A	2025-07-16

IC Document Collections

IC ID	Document Title	Status
35272	Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))	Modified
258625	Rule 19b-4(e)-- Initial Response	Modified

ICR Details

OMB Control No: 3235-0504	ICR Reference No: 202507-3235-012
Status: Received in OIRA	Previous ICR Reference No: 202408-3235-013
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 19b-4(e) 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	Date Submitted to OIRA: 09/25/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2025
Responses	2,654	2,355
Time Burden (Hours)	2,640	2,343
Cost Burden (Dollars)	0	0

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Abstract: Rule 19b-4(e), 17 CFR 240.19b-4(e), permits a self-regulatory organization (SRO) to list and trade a new derivative securities product without submitting a proposed rule change pursuant to Section 19(b) of the Securities Exchange Act of 1934, so long as such product meets the criteria of Rule 19b-4. Rule 19b-4(e) requires an SRO to publicly report certain information on its internet website using the most recent versions of the XML schema and the associated PDF renderer as published on the Commission's website for each new derivative securities product within five business days of beginning to trade such new derivative securities product. The collection of information is a third-party disclosure requirement and is used to maintain an accurate record of all new derivative securities products traded on the SROs.

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Authorizing Statute(s): US Code: 15 USC 78s(b) 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:
	90 FR 34536	07/22/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 46286	09/25/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
Rule 19b-4(e)-- Initial Response

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ICR Summary of Burden

	Total Request	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	2,654	2,355	0	299	0	0
Annual Time Burden (Hours)	2,640	2,343	0	297	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: There was an increase in the estimated burdens due to the increase in the estimated number of respondents and the estimated number of filings.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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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: 09/25/2025

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