OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities

ICR 201102-3235-009 · OMB 3235-0678 · Historical Inactive

Forms and Documents
DocumentTypeStatusAvailability
Form SB SEF Registration Form and Instruction New Repair queued
Supporting Statement Proposed Regulation SBSEF (5-18-11).pdf Supporting Statement A Uploaded 2011-05-18 Repair queued
Dodd-Frank Act Sec 763.pdf Supplementary Document Uploaded 2011-02-16 Available
IC Document Collections
IC IDCollectionTypeStatusForm
196272 Composite Indicative Quote/Executable Bids and Offers New
196271 Composite Indicative Quote/Executable Bids and Offers New
196270 Access by Non-Registered ECPs New
196269 Access by Non-Registered ECPs New
196268 Access by Non-Registered ECPs New
196267 Access by Non-Registered ECPs New
196266 Surveillance Systems New
196265 Surveillance Systems New
196264 CCO Requirement New
196263 CCO Requirement New
196262 CCO Requirement New
196261 Rule Filing and Product Filing New
196260 Rule Filing and Product Filing New
196259 Timely Publication of Trading Information New
196258 Recordkeeping New
196257 Recordkeeping New
196256 Recordkeeping New
196255 Recordkeeping New
196254 Recordkeeping New
196253 Recordkeeping New
196252 Reporting New
196251 Reporting New
196250 Reporting New
196249 Reporting New
196248 Reporting New
196247 Reporting New
196246 Reporting New
196245 Reporting New
196244 Reporting New
196243 Reporting New
196242 Rule-writing New
196241 Rule-writing New
196240 Registration New
196239 Registration New
196238 Registration New
196237 Registration New
196236 Registration New
196235 Registration New
196234 Registration New
196233 Registration New
196232 Registration Form and Instruction New
ICR Details
3235-0678 201102-3235-009
Historical Inactive
SEC TM-270-635
Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 05/18/2011
Retrieve Notice of Action (NOA) 02/28/2011
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0
This new collection is for the registration and regulation of Security-Based Swap Execution Facilities. Regulation SB SEF under the Securities Exchange Act of 1934 ("Exchange Act") is designed to create a registration framework for security-based swap execution facilities ("SB SEFs"); establish rules with respect to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"); establish rules with respect to the Dodd-Frank Act's requirements that a SB SEF comply with the fourteen Core Principles enumerated therein and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules.
US Code: 15 USC 78a et seq, including 3, 6, 15 Name of Law: null
   US Code: 15 USC 77c, 77d, 77g, 77j, 77s, 77z-2 Name of Law: null
   US Code: 15 USC 77g, 77q(a), 77s(a), 78b, 78c, Name of Law: null
   PL: Pub.L. 111 - 203 763 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
  
PL: Pub.L. 111 - 203 763 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
3235-AK93 Proposed rulemaking 76 FR 10948 02/28/2011
No
No
No
This new collection is for the registration and regulation of Security-Based Swap Execution Facilities. Regulation SB SEF under the Securities Exchange Act of 1934 ("Exchange Act") is designed to create a registration framework for security-based swap execution facilities ("SB SEFs"); establish rules with respect to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"); establish rules with respect to the Dodd-Frank Act's requirements that a SB SEF comply with the fourteen Core Principles enumerated therein and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules. The new collection estimated annual burden is 253,899 hours.
$0
No
No
No
Yes
No
Uncollected
Steve Varholik 2025515615
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
02/28/2011