Regulation SBSR (Rules 900 - 912) – Reporting and Dissemination of Security-Based Swap Information

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2010 Supporting_Statement_Proposed_Regulation_SBSR_(2).docx	Supporting Statement A	Uploaded 2014-07-10	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195792	Registration of SDRs as Securities Information Processors		Unchanged
195791	Policies and Procedures of Registered SDRs (Rule 907)		Unchanged
195790	Other Duties of Participants (Rule 906)IV - Policies and Procedures		Unchanged
195789	Other Duties of Participants (Rule 906) III - Participan Information		Unchanged
195788	Other Duties of Participants (Rule 906) II - Participant Collections		Unchanged
195787	Other Duties of Participants (Rule 906) I - SDR Reports		Unchanged
195786	Error Correction (Rule 905) III - SDRs		Unchanged
195785	Error Correction (Rule 905) II - Non-Reporting		Unchanged
195784	Error Correction (Rule 905) I- Reporting Parties		Unchanged
195783	Special Closing Hours (Rule 904)		Unchanged
195782	Puublic Dissemination of Transaction Reports (Rule 902)		Unchanged
195781	Reporting Obligations (Rule 901) II		Unchanged
195780	Reporting Obligations (Rule 901) I		Unchanged

ICR Details

OMB Control No: 3235-0718	ICR Reference No: 201406-3235-006
Status: Historical Inactive	Previous ICR Reference No: 201012-3235-028
Agency/Subagency: SEC	Agency Tracking No: TM-270-629
Title: Regulation SBSR (Rules 900 - 912) – Reporting and Dissemination of Security-Based Swap Information
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: 09/05/2014
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/10/2014
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: The Dodd-Frank Act amends the Exchange Act to require the Commission to adopt rules providing for, among other things (i) the reporting of security-based swaps (“SBSs”) to a registered security-based swap data repository (“SDR”) or to the Commission; and (ii) real-time public dissemination of SBS transaction, volume, and pricing information. Pursuant to Sections 763 and 766 of Title VII of the Dodd-Frank Act, the Commission is proposing Regulation SBSR to fulfill these requirements.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 763, 766 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 763, 766 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK80	Proposed rulemaking	75 FR 75208	12/02/2010

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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: 13

table that charts list of burden

IC Title	Form No.	Form Name
Error Correction (Rule 905) I- Reporting Parties
Error Correction (Rule 905) II - Non-Reporting
Error Correction (Rule 905) III - SDRs
Other Duties of Participants (Rule 906) I - SDR Reports
Other Duties of Participants (Rule 906) II - Participant Collections
Other Duties of Participants (Rule 906) III - Participan Information
Other Duties of Participants (Rule 906)IV - Policies and Procedures
Policies and Procedures of Registered SDRs (Rule 907)
Puublic Dissemination of Transaction Reports (Rule 902)
Registration of SDRs as Securities Information Processors
Reporting Obligations (Rule 901) I
Reporting Obligations (Rule 901) II
Special Closing Hours (Rule 904)

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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 that was proposed in 12/2010.

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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: 07/10/2014

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