Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2009 17a-25 Justification.doc	Supporting Statement A	Uploaded 2009-12-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35354	Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.		Modified
190768	Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers		New
190767	Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers		New

ICR Details

OMB Control No: 3235-0540	ICR Reference No: 200909-3235-012
Status: Historical Active	Previous ICR Reference No: 200610-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-482
Title: Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, 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: 01/22/2010
	Date Received in OIRA: 12/14/2009
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2013	36 Months From Approved	01/31/2010
Responses	80,572	0	50,358
Time Burden (Hours)	10,911	0	6,900
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 17a-25 sets forth the obligations of registered broker-dealers to submit securities trading data in electronic format upon request by the Commission for enforcement and other regulatory purposes.

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Authorizing Statute(s): US Code: 15 USC 78a et. seq. Name of Law: Securities Exchange Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 50265	09/30/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 64101	12/07/2009
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
Rule 17a-25: Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	80,572	50,358	0	0	30,214	0
Annual Time Burden (Hours)	10,911	6,900	0	0	4,011	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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 increase in burden hours is based on the actual number of electronic and manual submissions received by the Commission from January 1, 2007 to June 1, 2009. The Commission estimates that it sent 5168 electronic blue sheet requests to clearing broker-dealers, who in turn submitted 79,992 responses; in addition there were 80 manual responses and 500 responses with updated contact information for a total of 80,572 responses. The increase in the number of responses to 80,572 increased the burden hours to 10,911.

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Annual Cost to Federal Government: $3,987,325

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/14/2009

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