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

ICR 201406-3235-010

OMB: 3235-0678

Federal Form Document

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Supporting Statement A
2014-07-15
Supplementary Document
2011-02-16
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ICR Details
3235-0678 201406-3235-010
Historical Inactive 201102-3235-009
SEC TM-270-635
Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 09/05/2014
Retrieve Notice of Action (NOA) 07/15/2014
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.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0

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.

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

3235-AK93 Proposed rulemaking 76 FR 10948 02/28/2011

No

No
No
This is a new collection that received a "comment filed" approval in 2011.

$0
No
No
No
Yes
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Uncollected
Leah Mesfin 202 551-5565

  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.
07/15/2014


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