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View ICR - OIRA Conclusion

OMB Control No: 3235-0497	ICR Reference No: 201810-3235-022
Status: Historical Active	Previous ICR Reference No: 201510-3235-011
Agency/Subagency: SEC	Agency Tracking No: TM-270-441
Title: Rule 15c3-4; Internal Risk Management Control Systems.
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: 05/06/2019
	Date Received in OIRA: 02/14/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2022	36 Months From Approved	05/31/2019
Responses	15	0	8
Time Burden (Hours)	5,800	0	2,534
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	15	8	7
Annual Time Burden (Hours)	5,800	2,534	3,266
Annual Cost Burden (Dollars)	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 due to an increase in the estimated number of registrants subject to the rule. The Commission now estimates that a total of nine entities will be registered as OTC derivatives dealers at the end of the next three years, consisting of the three current OTC derivatives dealers, and six anticipated registrants (in contrast with the prior estimate of six OTC derivatives dealers, consisting of four current OTC derivatives dealers and two anticipated registrants).

Annual Cost to Federal Government: $49,896

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: Abraham Jacob 202 551-5583

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