View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0771	ICR Reference No: 201912-3235-011
Status: Historical Active	Previous ICR Reference No: 201909-3235-004
Agency/Subagency: SEC	Agency Tracking No: TM-270-817
Title: Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States
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: Approved without change	Conclusion Date: 04/06/2020
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/04/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2023	36 Months From Approved
Responses	273,481	0	0
Time Burden (Hours)	235,243	0	0
Cost Burden (Dollars)	1,075,834	0	0

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion
Annual Number of Responses	273,481	273,481
Annual Time Burden (Hours)	235,243	235,243
Annual Cost Burden (Dollars)	1,075,834	1,075,834

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission adopted new provisions in the rule (and several new ICs) to, among other things, help mitigate concerns expressed by commenters. The Commission also revised down the burdens in three ICs because of modifications in the rule. Finally, the Commission increased its estimated costs for several ICs to account for inflation. These changes are described in the Supporting Statement.

Annual Cost to Federal Government:

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]? 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: Kateryna Imus 202 551-5763