Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps andSecurity-Based Swaps

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
PRA Supporting Statement for Exemptive Order Granting Conditional Exemptions for Portfolio Margining of SB Swaps.pdf	Supporting Statement A	Uploaded 2013-01-24	Available
DF 763.pdf	Supplementary Document	Uploaded 2013-01-18	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
205365	Order Granting Conditional Exemptions Under the SecuritiesExchange Act of 1934 in Connection With Portfolio Margining of Swaps andSecurity-Based Swaps	Other-null	New

ICR Details

OMB Control No: 3235-0698	ICR Reference No: 201301-3235-004
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM-270-648
Title: Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps andSecurity-Based Swaps
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: Approved without change	Conclusion Date: 03/29/2013
	Date Received in OIRA: 01/24/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2016	36 Months From Approved
Responses	57	0	0
Time Burden (Hours)	403,750	0	0
Cost Burden (Dollars)	912,000	0	0

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Abstract: Order granting conditional exemptive relief from compliance with certian provisions of the Securities Exchange Act of 9134 in connection with a program to commingle and portfolio margin customer positions in cleared credit default swaps, which include both swaps and security based swaps, in a segregated account established and maintained in accordance with Section 4d(f) of the Commodity Exchange Act.

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Authorizing Statute(s): US Code: 15 USC 78mm Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c-5 Name of Law: Securities Exchange Act of 1934
  

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:
	77 FR 75211	12/19/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 75211	12/19/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Order Granting Conditional Exemptions Under the SecuritiesExchange Act of 1934 in Connection With Portfolio Margining of Swaps andSecurity-Based Swaps

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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	57	0	0	57	0	0
Annual Time Burden (Hours)	403,750	0	0	403,750	0	0
Annual Cost Burden (Dollars)	912,000	0	0	912,000	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This is a new information collection. The information collection is necessary or appropriate in the public interest and consistent with the protection of investors to grant the conditional exemptions provided by the Commission's Order, which was issued pursuant to Section 36 of the Exchange Act.

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Annual Cost to Federal Government: $0

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: 01/24/2013

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