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View ICR - OIRA Conclusion

OMB Control No: 3235-0806	ICR Reference No: 202308-3235-024
Status: Active	Previous ICR Reference No: 202304-3235-001
Agency/Subagency: SEC	Agency Tracking No:
Title: Proposed Rule 17a-4(b)(17)
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: 10/16/2023
	Date Received in OIRA: 08/24/2023
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2026	36 Months From Approved
Responses	602	0	0
Time Burden (Hours)	5,518	0	0
Cost Burden (Dollars)	0	0	0

Authorizing Statute(s): US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 939A Name of Law: Dodd Frank Wall Street Reform and Consumer Protection Act
   Statute at Large: 124 Stat. 1376 Name of Statute: Dodd Frank Wall Street Reform and Consumer Protection Act
   US Code: 15 USC 78c(b) Name of Law: Securities Exchange Act of 1934

Citations for New Statutory Requirements: None

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion
Annual Number of Responses	602	602
Annual Time Burden (Hours)	5,518	5,518
Annual Cost Burden (Dollars)	0	0

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 recently adopted amendments that would add a new collection of information requirement in Rule 17a-4(b)(17). These are discussed in more detail in the attached Supporting Statement. NOTE: Rule 17a-4 is currently assigned OMB Control No. 3235-0279, but due to the timing of other submissions for that control number, we submitted (b)(17) of Rule 17a-4 under a new control number.

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: Jessica Kloss 202 551-6834

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