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View ICR - OIRA Conclusion

OMB Control No: 3235-0497	ICR Reference No: 202409-3235-023
Status: Active	Previous ICR Reference No: 202201-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-441
Title: Rule 15c3-4; Internal Risk Management Control Systems.
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	05/31/2025
Responses	29	0	21
Time Burden (Hours)	8,600	0	6,533
Cost Burden (Dollars)	0	0	0

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	29	21	8
Annual Time Burden (Hours)	8,600	6,533	2,067
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 estimated burden hours from 6,533 to 8,600 is due to an increase in the estimated number of respondents subject to the requirements of the rule. We previously estimated that 16 respondents (eleven existing respondents and five new respondents) would be subject to the rule requirements. We now estimate that 23 respondents (seventeen existing respondents and six new respondents) will be subject to the rule requirements.

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: Barry Huang 212 336-1063

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