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

ICR 201102-3235-009

OMB: 3235-0678

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
New
Supporting Statement A
2011-05-18
Supplementary Document
2011-02-16
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


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