Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants

Forms and Documents

Document	Type	Status	Availability
Form SBSE-W File Withdrawal Form	Form	New	Repair queued
Form SBSE-C Gain Comfort for Certification through External Process	Form	New	Repair queued
Form SBSE-C Gain Comfort for Certification through Internal Process	Form	New	Repair queued
Form SBSE-C File Certification on Form SBSE-C	Form	New	Repair queued
Form SBSE-BD File Form SBSE-BD	Form	New	Repair queued
Form SBSE-A File Form SBSE-A	Form	New	Available
Form SBSE File Form SBSE	Form	New	Repair queued
Justification_final_20111020[1].pdf	Supporting Statement A	Uploaded 2012-12-05	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
199817	Proposed Temporary Rule 15Fb2-2T - Form SBSE-BD		New
199816	Proposed Temporary Rule 15Fb2-2T - Form SBSE-A		New
199815	Proposed Temporary Rule 15Fb2-2T - Form SBSE		New
199814	File Withdrawal Form	Form	New
199813	Retain Manually Signed Signature Pages		New
199812	Have Nonresident SBS Entity Complete and File Schedule F		New
199811	Have CCO Sign Employee SD Certification on Schedule G		New
199810	Have CCO (or designee) Sign Employment Records (ongoing)		New
199809	Have CCO (or designee) Sign Employment Records (initial)		New
199808	Collect Additional Employment Information (as necessary)		New
199807	Review Employment Questionnaire for Completeness		New
199806	Gain Comfort for Certification through External Process	Form	New
199805	Gain Comfort for Certification through Internal Process	Form	New
199804	File Certification on Form SBSE-C	Form	New
199803	Amendment of Application Forms		New
199801	File Form SBSE-BD	Form	New
199800	File Form SBSE-A	Form	New
199799	File Form SBSE	Form	New

ICR Details

OMB Control No: 3235-0696	ICR Reference No: 201110-3235-012
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM-270-642
Title: Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 01/28/2013
	Date Received in OIRA: 12/05/2012
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. 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 describe in the preamble of the final rule how the agency has maximized the practical utility of the collection and minimized the burden. The next submission to OMB must include the draft final rule.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Rules 15Fb1-1 through 15Fb6-1 are designed to provide security-based swap dealers and major security-based swap participants with a method by which they can register with the Commission. Forms SBSE, SBSE-A, SBSE-BD, and SBSE-C are designed to provide the Commission with information necessary to determine whether to grant registration. Form SBSE-W is designed to provide the Commission with information necessary to determine whether it is appropriate to allow an entity to withdraw from registration.

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Authorizing Statute(s): US Code: 15 USC 78o-10(a) through (d) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78dd Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: US Code: 15 USC 78o-10(a) through (d) Name of Law: Securities Exchange Act of 1934

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL05	Proposed rulemaking	76 FR 65784	10/24/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 18

IC Title	Form No.	Form Name
Collect Additional Employment Information (as necessary)
Have CCO (or designee) Sign Employment Records (ongoing)
File Form SBSE	SBSE	Form SBSE
Proposed Temporary Rule 15Fb2-2T - Form SBSE-BD
Proposed Temporary Rule 15Fb2-2T - Form SBSE
File Form SBSE-A	SBSE-A	Form SBSE-A
Review Employment Questionnaire for Completeness
File Withdrawal Form	SBSE-W	Form SBSE-W
Proposed Temporary Rule 15Fb2-2T - Form SBSE-A
Have CCO Sign Employee SD Certification on Schedule G
Have CCO (or designee) Sign Employment Records (initial)
Amendment of Application Forms
File Form SBSE-BD	SBSE-BD	Form SBSE-BD
Gain Comfort for Certification through Internal Process	SBSE-C	FormSBSE-C
Gain Comfort for Certification through External Process	SBSE-C	Form SBSE-C
Retain Manually Signed Signature Pages
Have Nonresident SBS Entity Complete and File Schedule F
File Certification on Form SBSE-C	SBSE-C	Form SBSE-C

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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: This is a new information collection.

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Annual Cost to Federal Government: $20,625

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]? 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? 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: 12/05/2012

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