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View ICR - OIRA Conclusion

OMB Control No: 3235-0498	ICR Reference No: 202501-3235-024
Status: Active	Previous ICR Reference No: 202407-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers
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: 07/29/2025
	Date Received in OIRA: 06/12/2025
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2027	11/30/2027	11/30/2027
Responses	33	0	6
Time Burden (Hours)	587	0	540
Cost Burden (Dollars)	143,500	0	138,900

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	33	6	27
Annual Time Burden (Hours)	587	540	47
Annual Cost Burden (Dollars)	143,500	138,900	4,600

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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission recently adopted amendments to Rule 17a-12 that would result in small increases to the hour and cost burdens. These are discussed in more detail in the attached Supporting Statement.

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: Valentina Deng 202 551-5778

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