Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SB SEF Form SB SEF	Form and Instruction	Unchanged	Available
Supporting_Statement_Proposed_Regulation_SBSEF_(5-18-11).pdf	Supporting Statement A	Uploaded 2014-07-15	Available
Dodd-Frank Act Sec 763.pdf	Supplementary Document	Uploaded 2011-02-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
196272	Composite Indicative Quote/Executable Bids and Offers		Unchanged
196271	Composite Indicative Quote/Executable Bids and Offers		Unchanged
196270	Access by Non-Registered ECPs		Unchanged
196269	Access by Non-Registered ECPs		Unchanged
196268	Access by Non-Registered ECPs		Unchanged
196267	Access by Non-Registered ECPs		Unchanged
196266	Surveillance Systems		Unchanged
196265	Surveillance Systems		Unchanged
196264	CCO Requirement		Unchanged
196263	CCO Requirement		Unchanged
196262	CCO Requirement		Unchanged
196261	Rule Filing and Product Filing		Unchanged
196260	Rule Filing and Product Filing		Unchanged
196259	Timely Publication of Trading Information		Unchanged
196258	Recordkeeping		Unchanged
196257	Recordkeeping		Unchanged
196256	Recordkeeping		Unchanged
196255	Recordkeeping		Unchanged
196254	Recordkeeping		Unchanged
196253	Recordkeeping		Unchanged
196252	Reporting		Unchanged
196251	Reporting		Unchanged
196250	Reporting		Unchanged
196249	Reporting		Unchanged
196248	Reporting		Unchanged
196247	Reporting		Unchanged
196246	Reporting		Unchanged
196245	Reporting		Unchanged
196244	Reporting		Unchanged
196243	Reporting		Unchanged
196242	Rule-writing		Unchanged
196241	Rule-writing		Unchanged
196240	Registration		Unchanged
196239	Registration		Unchanged
196238	Registration		Unchanged
196237	Registration		Unchanged
196236	Registration		Unchanged
196235	Registration		Unchanged
196234	Registration		Unchanged
196233	Registration		Unchanged
196232	Registration	Form and Instruction	Unchanged	Form SB SEF

ICR Details

OMB Control No: 3235-0678	ICR Reference No: 201406-3235-010
Status: Historical Inactive	Previous ICR Reference No: 201102-3235-009
Agency/Subagency: SEC	Agency Tracking No: TM-270-635
Title: Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities
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: 07/15/2014
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: This new collection is for the registration and regulation of Security-Based Swap Execution Facilities. Regulation SB SEF under the Securities Exchange Act of 1934 ("Exchange Act") is designed to create a registration framework for security-based swap execution facilities ("SB SEFs"); establish rules with respect to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"); establish rules with respect to the Dodd-Frank Act's requirements that a SB SEF comply with the fourteen Core Principles enumerated therein and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules.

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Authorizing Statute(s): US Code: 15 USC 77c, 77d, 77g, 77j, 77s, 77z-2
   US Code: 15 USC 77g, 77q(a), 77s(a), 78b, 78c,
   PL: Pub.L. 111 - 203 763 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
   US Code: 15 USC 78a et seq, including 3, 6, 15
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 763 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK93	Proposed rulemaking	76 FR 10948	02/28/2011

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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: 41

table that charts list of burden

IC Title	Form No.	Form Name
Access by Non-Registered ECPs
Access by Non-Registered ECPs
Access by Non-Registered ECPs
Access by Non-Registered ECPs
CCO Requirement
CCO Requirement
CCO Requirement
Composite Indicative Quote/Executable Bids and Offers
Composite Indicative Quote/Executable Bids and Offers
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Recordkeeping
Registration
Registration
Registration	SB SEF	Form SB SEF
Registration
Registration
Registration
Registration
Registration
Registration
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Reporting
Rule Filing and Product Filing
Rule Filing and Product Filing
Rule-writing
Rule-writing
Surveillance Systems
Surveillance Systems
Timely Publication of Trading Information

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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 collection that received a "comment filed" approval in 2011.

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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: 07/15/2014

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