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View ICR - OIRA Conclusion

OMB Control No: 3235-0480	ICR Reference No: 202402-3235-001
Status: Active	Previous ICR Reference No: 202101-3235-018
Agency/Subagency: SEC	Agency Tracking No: TM-270-429
Title: Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document
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: 05/17/2024
	Date Received in OIRA: 04/12/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2027	36 Months From Approved	07/31/2024
Responses	149,031	0	159,168
Time Burden (Hours)	1,650	0	1,710
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	149,031	159,168	-10,137
Annual Time Burden (Hours)	1,650	1,710	-60
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 net decrease in the estimated time burden (from 1,710 hours to 1,650 hours) is the result of two factors: (1) an increase in the estimated reporting burden for the options exchanges (from 384 hours to 408 hours) and (2) a decrease in the estimated broker-dealers’ burden of furnishing the ODD to customers (from 1,326 hours to 1, 242 hours). The increase in the reporting burden for the options exchanges is due to an increase in the estimated number of options markets that must comply with Rule 9b-1 from 16 to 17. The decrease in the broker-dealers’ burden of furnishing the ODD to customers is due to a decrease in the estimated number of broker-dealers that must comply with the rule from 1,020 to 955.

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: Nina Shallal 202 551-3451

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