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View ICR - OIRA Conclusion

OMB Control No: 3235-0575	ICR Reference No: 202110-3235-018
Status: Historical Active	Previous ICR Reference No: 201804-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM-270-517
Title: Regulation AC
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: 02/22/2022
	Date Received in OIRA: 01/11/2022
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2025	36 Months From Approved	02/28/2022
Responses	1,554,112	0	1,351,364
Time Burden (Hours)	40,806	0	38,356
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	1,554,112	1,351,364	202,748
Annual Time Burden (Hours)	40,806	38,356	2,450
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 hour burden from 38,356 hours to 40,806 hours reflects an increase in the Commission’s estimate of the number of broker-dealers (from 2,628 to 3,551), a decrease in the estimate of the number of investment analysts (from 5,935 to 5,538), a decrease in the estimate of the number of registered investment advisers associated with a broker-dealer (from 2,459 to 2,368), and an increase in the total annual number of responses from 1,351,364 to 1,554,112.

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: Jessica Kloss 202 551-6834

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