View Information Collection Request (ICR) Package

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View ICR - OIRA Conclusion

OMB Control No: 3235-0273	ICR Reference No: 202511-3235-008
Status: Active	Previous ICR Reference No: 202209-3235-008
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17Ad-10: Accurate Creation and Maintenance of Securityholder Files (17 CFR 240.17Ad-10)
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: 05/01/2026
	Date Received in OIRA: 02/06/2026
Terms of Clearance: The agency intended to label this package, regarding the "Type of Information Collection", as an "Extension without change", instead of "Revision."

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2029	36 Months From Approved	04/30/2026
Responses	319	0	401
Time Burden (Hours)	25,520	0	32,080
Cost Burden (Dollars)	7,866,540	0	7,218,000

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	319	401	-82
Annual Time Burden (Hours)	25,520	32,080	-6,560
Annual Cost Burden (Dollars)	7,866,540	7,218,000	648,540

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 decrease in annual burden hours from 32,080 total annual industry hours in 2022 to the current 25,520 total annual industry hours (a decrease of 6,560 hours) is due to a decrease in the number of registered transfer agents from 401 in 2022 to 319 currently (a decrease of 82). Despite the decrease in the number of registered transfer agents from 401 in 2022 to 319 currently (a decrease of 82), the increase in annual external cost burden from $7,218,000 in 2022 to $7,866,540 in 2025 (an increase of $648,540) is due to salary inflation.

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: Bryant Eng 202 551-7517

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