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View ICR - OIRA Conclusion

OMB Control No: 3235-0751	ICR Reference No: 202104-3235-002
Status: Historical Active	Previous ICR Reference No: 201608-3235-005
Agency/Subagency: SEC	Agency Tracking No: TM-270-668
Title: Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants
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: 07/29/2021
	Date Received in OIRA: 05/05/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2024	36 Months From Approved
Responses	88	0	0
Time Burden (Hours)	12,664	0	0
Cost Burden (Dollars)	184,840	0	0

ICR Summary of Burden

	Total Approved	Change Due to New Statute	Change Due to Agency Discretion
Annual Number of Responses	88	97	-9
Annual Time Burden (Hours)	12,664	14,122	-1,458
Annual Cost Burden (Dollars)	184,840	204,040	-19,200

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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission estimates that the annual burdens in the final rule will decrease in comparison with the proposal because the burden estimate has been revised to reflect a reduction in the number of respondents. The Commission has reduced the number of estimated respondents from the number estimated in the proposal because of certain amendments to related Rule 18a-10. These are discussed in more detail in Item 15 of 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? No

Agency Contact: Abraham Jacob 202 551-5583

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