Rule 239

ICR 201204-3235-012

OMB: 3235-0687

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-04-11
IC Document Collections
IC ID
Document
Title
Status
198425
Modified
ICR Details
3235-0687 201204-3235-012
Historical Active 201107-3235-002
SEC CF 270-638
Rule 239
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 07/16/2012
Retrieve Notice of Action (NOA) 04/12/2012
  Inventory as of this Action Requested Previously Approved
07/31/2015 36 Months From Approved
120 0 0
180 0 0
24,000 0 0

Rule 239 would apply to registered or exempt clearing agencies on the proposed exemption from the registration requirements of the Securities Act of 1933.

US Code: 15 USC 77ddd(d) Name of Law: Trust Indenture Act of 1939
   US Code: 15 USC 77s,77z-3 Name of Law: Securities Act of 1933
   US Code: 15 USC 78l(h), 78w(a), 78mm Name of Law: Securities Exchange Act of 1934
  
PL: Pub.L. 111 - 203 768 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

3235-AL16 Final or interim final rulemaking 77 FR 20536 04/05/2012

No

1
IC Title Form No. Form Name
Rule 239

  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 120 0 120 0 0 0
Annual Time Burden (Hours) 180 0 180 0 0 0
Annual Cost Burden (Dollars) 24,000 0 24,000 0 0 0
No
No
The final rules in Release No. 33-9308 provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The disclosure provisions of Rule 239 apply to registered or exempt clearing agencies relying on the exemption from the registration requirements of the Securities Act of 1933. The purpose of the information collection in Rule 239 is to make certain information about security-based swaps that may be cleared by the registered or exempt clearing agency available to eligible contract participants and other market participants. We estimate that the proposals will result in 240 burden hours and an increase in the cost burden of $24,000 for services of outside professionals. For a more detailed discussion, please refer to the supporting statement.

$0
No
No
No
Yes
No
Uncollected
Andrew Schoeffler 202 551-3748

  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.
04/12/2012


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