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OMB Control No: 3235-0195	ICR Reference No: 202607-3235-001
Status: Received in OIRA	Previous ICR Reference No: 202305-3235-024
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 240.17Ab2- 1) and Form CA-1 (17 CFR 249b.200)
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: 09/14/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2026
Responses	13	1
Time Burden (Hours)	2,553	400
Cost Burden (Dollars)	121,770	23,200

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	13	1	12
Annual Time Burden (Hours)	2,553	400	2,153
Annual Cost Burden (Dollars)	121,770	23,200	98,570

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 cost burden estimates changed to reflect: (1) the most recent updated wage and salary information for the industry, 2) the uptick in length and complexity of Form CA-1 applications, (3) an increase in novel issues that may result in use of external counsel for both applications and amendments, and (4) the uptick in the total number of responses annually. In addition, Commission staff summarized the burdens in two categories (Initial Filings and Amended Filings) rather than a single category.

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. Yes

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: Claire Noakes 202 551-5837

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