View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0696	ICR Reference No: 201811-3235-005
Status: Historical Active	Previous ICR Reference No: 201505-3235-011
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: 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: 04/19/2019
	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	411	0	411
Time Burden (Hours)	9,825	0	9,812
Cost Burden (Dollars)	212,205	0	212,271

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	411	411	0
Annual Time Burden (Hours)	9,825	9,812	13
Annual Cost Burden (Dollars)	212,205	212,271	-66

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: There was a net increase of 13 burden hours because we expect that five respondents we originally thought would be able to file on Form SBSE-A will instead be required to file on Form SBSE. There was a decrease in cost of $66 because we reduced our estimate of the cost for each nonresident SBS Entity to appoint and maintain a relationship with a U.S. agent for service of process from $179 annually to $176 annually.

Annual Cost to Federal Government: $8,250

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. Yes

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]? 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

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