Regulation SCI

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form SCI Form SCI	Form and Instruction	New	Available
Form Form SCI Form SCI	Form and Instruction	New	Available
PRA submission supporting statement - Reg SCI 3-17-13 (Final).pdf	Supporting Statement A	Uploaded 2013-06-10	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
207227	Recordkeeping requirements		New
207226	Requirement to identify immediate notification SCI events and dissemination SCI events		New
207225	Requirement to take corrective actions		New
207224	Reports required by proposed Rule 1000(b)(8)		New
207223	SCI review required by proposed Rule 1000(b)(7)		New
207214	Notice required by proposed Rule 1000(b)(6)		New
207212	Dissemination of information required by proposed Rule 1000(b)(5)		New
207211	Notice required by proposed Rule 1000(b)(4)		New
207210	Mandatory participation in certain testing for plan processors required by proposed Rule 1000(b)(9)	Form and Instruction	New	Form SCI
207209	Mandatory participation in certain testing for non-plan processors required by proposed Rule 1000(b)(9)	Form and Instruction	New	Form SCI
207208	Policies and procedures required by proposed Rule 1000(b)(2)		New
207206	Policies and procedures required by proposed Rule 1000(b)(1)		New

ICR Details

OMB Control No: 3235-0703	ICR Reference No: 201306-3235-001
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM-270-653
Title: Regulation SCI
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: 08/22/2013
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/10/2013
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

table that charts list comparision

	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: Regulation SCI would update and formalize a regulatory framework for ensuring that the U.S. securities trading markets develop and maintain systems with adequate capacity, integrity, resiliency, availability, and security, and reinforce the requirement that such systems operate in compliance with relevant laws and rules.

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Authorizing Statute(s): US Code: 15 USC 78a et seq 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:
3235-AL43	Proposed rulemaking	78 FR 18083	03/25/2013

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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: 12

table that charts list of burden

IC Title	Form No.	Form Name
Dissemination of information required by proposed Rule 1000(b)(5)
Mandatory participation in certain testing for non-plan processors required by proposed Rule 1000(b)(9)	Form SCI	Form SCI
Mandatory participation in certain testing for plan processors required by proposed Rule 1000(b)(9)	Form SCI	Form SCI
Notice required by proposed Rule 1000(b)(4)
Notice required by proposed Rule 1000(b)(6)
Policies and procedures required by proposed Rule 1000(b)(1)
Policies and procedures required by proposed Rule 1000(b)(2)
Recordkeeping requirements
Reports required by proposed Rule 1000(b)(8)
Requirement to identify immediate notification SCI events and dissemination SCI events
Requirement to take corrective actions
SCI review required by proposed Rule 1000(b)(7)

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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.

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Annual Cost to Federal Government: $420,000

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]? No

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: 06/10/2013

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