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:
3235-0696
ICR Reference No:
201406-3235-008
Status:
Historical Inactive
Previous ICR Reference No:
201110-3235-012
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-642
Title:
Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants
Type of Information Collection:
New collection (Request for a new OMB Control Number)
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Comment filed on proposed rule
Conclusion Date:
09/05/2014
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/15/2014
Terms of Clearance:
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
36 Months From Approved
Responses
0
0
0
Time Burden (Hours)
0
0
0
Cost Burden (Dollars)
0
0
0
Abstract:
Rules 15Fb1-1 through 15Fb6-1 are designed to provide security-based swap dealers and major security-based swap participants with a method by which they can register with the Commission. Forms SBSE, SBSE-A, SBSE-BD, and SBSE-C are designed to provide the Commission with information necessary to determine whether to grant registration. Form SBSE-W is designed to provide the Commission with information necessary to determine whether it is appropriate to allow an entity to withdraw from registration.
Authorizing Statute(s):
US Code:
15 USC 78o-10(a) through (d)
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78q
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78w(a)
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78dd
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
US Code: 15 USC 78o-10(a) through (d) Name of Law: Securities Exchange Act of 1934
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AL05
Proposed rulemaking
76 FR 65784
10/24/2011
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
18
IC Title
Form No.
Form Name
Amendment of Application Forms
Collect Additional Employment Information (as necessary)
File Certification on Form SBSE-C
SBSE-C
Form SBSE-C
File Form SBSE
SBSE
Form SBSE
File Form SBSE-A
SBSE-A
Form SBSE-A
File Form SBSE-BD
SBSE-BD
Form SBSE-BD
File Withdrawal Form
SBSE-W
Form SBSE-W
Gain Comfort for Certification through External Process
SBSE-C
Form SBSE-C
Gain Comfort for Certification through Internal Process
SBSE-C
FormSBSE-C
Have CCO (or designee) Sign Employment Records (initial)
Have CCO (or designee) Sign Employment Records (ongoing)
Have CCO Sign Employee SD Certification on Schedule G
Have Nonresident SBS Entity Complete and File Schedule F
Proposed Temporary Rule 15Fb2-2T - Form SBSE
Proposed Temporary Rule 15Fb2-2T - Form SBSE-A
Proposed Temporary Rule 15Fb2-2T - Form SBSE-BD
Retain Manually Signed Signature Pages
Review Employment Questionnaire for Completeness
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:
This is a new collection prevously approved as "comment filed" in 2011
Annual Cost to Federal Government:
$20,625
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]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Yes
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:
Bonnie Gauch 202 942-0765
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:
07/15/2014
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