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OMB Control No: 3235-0701	ICR Reference No: 202505-3235-018
Status: Received in OIRA	Previous ICR Reference No: 202205-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 09/19/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2025
Responses	1,286	520
Time Burden (Hours)	33,243	21,024
Cost Burden (Dollars)	6,504,934	2,598,500

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	1,286	520	766
Annual Time Burden (Hours)	33,243	21,024	12,219
Annual Cost Burden (Dollars)	6,504,934	2,598,500	3,906,434

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burdens can be attributed to an increase in respondents since the last submission, as well as an increase in the estimated cost of an outside consultant. The burdens are discussed in more detail in the attached Supporting Statement.

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: Nina Kostyukovsky 202 551-8833