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View ICR - OIRA Conclusion

OMB Control No: 3235-0200	ICR Reference No: 202603-3235-022
Status: Active	Previous ICR Reference No: 202301-3235-012
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15c3-1; Net Capital Requirements for Brokers and Dealers
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: 08/06/2026
	Date Received in OIRA: 06/04/2026
Terms of Clearance: burden change should have been noted as due to change in estimates rather than program change

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2029	36 Months From Approved	08/31/2026
Responses	2,441	0	3,021
Time Burden (Hours)	67,772	0	70,137
Cost Burden (Dollars)	133,867	0	135,167

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Agency Discretion
Annual Number of Responses	2,441	3,021	-580
Annual Time Burden (Hours)	67,772	70,137	-2,365
Annual Cost Burden (Dollars)	133,867	135,167	-1,300

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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: A few estimated burdens have changed due to changes in the estimated number of respondents or the estimated cost per response. These 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: Valentina Deng 202 551-5778

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