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View ICR - OIRA Conclusion

OMB Control No: 3235-0751	ICR Reference No: 202301-3235-028
Status: Historical Active	Previous ICR Reference No: 202205-3235-050
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: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/13/2023
	Date Received in OIRA: 02/09/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2024	07/31/2024	07/31/2024
Responses	164	0	88
Time Burden (Hours)	16,308	0	12,664
Cost Burden (Dollars)	1,335,072	0	184,840

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	164	88	76
Annual Time Burden (Hours)	16,308	12,664	3,644
Annual Cost Burden (Dollars)	1,335,072	184,840	1,150,232

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 amendments to Rule 17a-4, which added new hour and cost burdens. These are described in more detail in the attached 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: Timothy Fox 202 551-5687

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