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

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
35382	Rule 6a-4 and Form 1-N Form and Instruction	Modified
207356	Rule 6a-4(b)(4) (3-Year Amendments)	Modified
207355	Rule 6a-4(b)(3) (Annual Amendments)	Modified
192665	Rule 6a-4(c) (Supplemental Materials)	Modified

ICR Details

OMB Control No: 3235-0554	ICR Reference No: 202512-3235-021
Status: Received in OIRA	Previous ICR Reference No: 202210-3235-024
Agency/Subagency: SEC	Agency Tracking No: TM
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	Date Submitted to OIRA: 03/04/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	42	29
Time Burden (Hours)	108	92
Cost Burden (Dollars)	850	696

---

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. Rule 6a-4 permits respondents to make certain information available on the Internet and to notify the Commission of its web location. The Internet has developed the potential to ease compliance burdens for respondents and increase the speed, accuracy, and availability of information, generating benefits to investors and financial markets. SEC staff is considering ways to reduce respondents’ paperwork burden, including using electronic means to submit Form 1-N.

---

Authorizing Statute(s): US Code: 15 USC 78f(g) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 60164	12/23/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 10637	03/04/2026
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Rule 6a-4 and Form 1-N	SEC 2568 (11-02)	Form 1-N
Rule 6a-4(b)(3) (Annual Amendments)
Rule 6a-4(b)(4) (3-Year Amendments)
Rule 6a-4(c) (Supplemental Materials)

---

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	42	29	0	13	0	0
Annual Time Burden (Hours)	108	92	0	16	0	0
Annual Cost Burden (Dollars)	850	696	0	154	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: There is an increase in the aggregate hourly burden associated with this information collection from 86 to 128 hours, but no change to the time per individual response. This is because we calculated the hours based on three exchanges instead of two. The rising cost of inflation, plus the addition of a third respondent, increased the total cost to respondents from $638 to $995.20.

---

Annual Cost to Federal Government:

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

---

Common Form ICR:  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:

(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: 03/04/2026

---

Something went wrong when downloading this file. If you have any questions, please send an email to risc@gsa.gov.