View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0540
ICR Reference No:
200909-3235-012
Status:
Historical Active
Previous ICR Reference No:
200610-3235-002
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-482
Title:
Rule 17a-25, Electronic Submission of Securities Trading Data by 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:
01/22/2010
Retrieve Notice of Action (NOA)
Date Received in OIRA:
12/14/2009
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2013
36 Months From Approved
01/31/2010
Responses
80,572
0
50,358
Time Burden (Hours)
10,911
0
6,900
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 17a-25 sets forth the obligations of registered broker-dealers to submit securities trading data in electronic format upon request by the Commission for enforcement and other regulatory purposes.
Authorizing Statute(s):
US Code:
15 USC 78a et. seq.
Name of Law: Securities Exchange Act
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:
74 FR 50265
09/30/2009
30-day Notice:
Federal Register Citation:
Citation Date:
74 FR 64101
12/07/2009
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
3
IC Title
Form No.
Form Name
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.
ICR Summary of Burden
Total Approved
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
80,572
50,358
0
0
30,214
0
Annual Time Burden (Hours)
10,911
6,900
0
0
4,011
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
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 increase in burden hours is based on the actual number of electronic and manual submissions received by the Commission from January 1, 2007 to June 1, 2009. The Commission estimates that it sent 5168 electronic blue sheet requests to clearing broker-dealers, who in turn submitted 79,992 responses; in addition there were 80 manual responses and 500 responses with updated contact information for a total of 80,572 responses. The increase in the number of responses to 80,572 increased the burden hours to 10,911.
Annual Cost to Federal Government:
$3,987,325
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
Uncollected
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Uncollected
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Gail Jackson 202 551-5623
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:
12/14/2009
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