View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0195	ICR Reference No: 202005-3235-020
Status: Historical Active	Previous ICR Reference No: 201707-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM-270-203
Title: Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200
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: 11/09/2020
	Date Received in OIRA: 08/24/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2023	36 Months From Approved	11/30/2020
Responses	1	0	1
Time Burden (Hours)	400	0	130
Cost Burden (Dollars)	21,090	0	19,029

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1	1	0
Annual Time Burden (Hours)	400	130	270
Annual Cost Burden (Dollars)	21,090	19,029	2,061

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 estimated hour burden increased from 130 to 400 hours because the estimated annual time to prepare a new Form CA-1 increased from from130 hours to 340 hours (due to recent staff experience with an increase in the complexity and novelty of analysis conducted by applicants describing their operations in a Form CA-1) and the estimated annual time to prepare an amendment to a previously filed Form CA-1 increased from 0 to 60 hours (due to the estimate of the average number of amendments per year increasing from 0 to 1 because of recent staff experience with an increase in the frequency of amendments). The estimate of external costs increased from $19,029 to $21,090 due to inflation of the cost of professional services and an increase in the complexity and novelty of analysis conducted by applicants.

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? No

Agency Contact: Claire Noakes 202 551-5837

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