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View ICR - OIRA Conclusion

OMB Control No: 3235-0785	ICR Reference No: 202409-3235-002
Status: Active	Previous ICR Reference No: 202108-3235-004
Agency/Subagency: SEC	Agency Tracking No:
Title: Rule 18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities
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: 03/18/2025
	Date Received in OIRA: 12/20/2024
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2028	36 Months From Approved	03/31/2025
Responses	2,006	0	3,008
Time Burden (Hours)	11	0	10,021
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	2,006	3,008	-1,002
Annual Time Burden (Hours)	11	10,021	-10,010
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: Rule 18a-10(b)(2) (Develop Disclosure Language): The burden was largely expected to be experienced during the first year after the adoption of the rule. Therefore, the burden has already been incurred and is no longer applicable. Rule 18a-10(b)(2) (Incorporate Disclosure Language): The burden was largely expected to be experienced during the first year after the adoption of the rule. Therefore, the burden has already been incurred and is no longer applicable. Rule 18a-10(b)(2) (Update Disclosures): Reduction in the number of respondents from 3 to 2.

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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