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OMB Control No: 3235-0771	ICR Reference No: 202511-3235-007
Status: Received in OIRA	Previous ICR Reference No: 202211-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 02/06/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	273,481	273,481
Time Burden (Hours)	235,243	235,243
Cost Burden (Dollars)	1,359,779	1,242,595

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	273,481	273,481	0
Annual Time Burden (Hours)	235,243	235,243	0
Annual Cost Burden (Dollars)	1,359,779	1,242,595	117,184

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:

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: Richard Mo 202 551-4656

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