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View ICR - OIRA Conclusion

OMB Control No: 3235-0033	ICR Reference No: 202204-3235-004
Status: Active	Previous ICR Reference No: 202107-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM-240-026
Title: Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/15/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 10/08/2022
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2025	36 Months From Approved	12/31/2022
Responses	425,601,810	0	248,322,084
Time Burden (Hours)	8,342,195	0	5,322,107
Cost Burden (Dollars)	105,320,999	0	54,448,137

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	425,601,810	248,322,084	177,279,726
Annual Time Burden (Hours)	8,342,195	5,322,107	3,020,088
Annual Cost Burden (Dollars)	105,320,999	54,448,137	50,872,862

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: The annual hour burden has changed primarily due to an increase in the number of customer accounts held by broker-dealers (from 143,333,276 to 240,576,070). While the number of broker-dealers registered with the Commission decreased from 3,764 to 3,528, the reduced burdens associated with rules based on the number of registered broker-dealers did not outweigh the increase in burdens associated with rules based on the number of accounts. The net result has been an increase in the annual hour burden from approximately 5,322,107 hours to approximately 8,342,195 hours, a change of 3,020,088 hours per year. The annual cost burden increased due to inflation, increases in postage costs, and increase in the number of customer accounts. The overall impact of these changes has been an increase in the cost burden of $50,872,862, going from $54,448,137 to $105,320,999 per year.

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

Agency Contact: Abraham Jacob 202 551-5583