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View ICR - OIRA Conclusion

OMB Control No: 3235-0498	ICR Reference No: 201806-3235-014
Status: Historical Active	Previous ICR Reference No: 201509-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM-270-442
Title: Rule 17a-12; Reporting Requirements for OTC Derivatives 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: 04/25/2019
	Date Received in OIRA: 02/05/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2022	36 Months From Approved	04/30/2019
Responses	12	0	30
Time Burden (Hours)	1,080	0	900
Cost Burden (Dollars)	277,800	0	231,500

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	12	30	-18
Annual Time Burden (Hours)	1,080	900	180
Annual Cost Burden (Dollars)	277,800	231,500	46,300

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 number of firms registered with the Commission as OTC derivatives dealers has changed from four firms to three firms. The staff now expects that three more firms will register with the Commission as an OTC derivatives dealer within the next three years. Formerly, the staff estimated that one more firm would register as an OTC derivatives dealer. Therefore, the total number of respondents has changed from five to six. As a result, the total annual hour reporting burden and the annual industry-wide reporting cost have increased.

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? Uncollected

Agency Contact: Rose Wells 202 942-0143

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