13n-4 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement

Forms and Documents

Document	Type	Status	Availability
13n-4 Supporting Statement (Final) - 12-22-15.pdf	Supporting Statement A	Uploaded 2015-12-23	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
219398	13n-4(d) - Records of Requests		New
219397	13n-4(d) - Providing Notification of Requests		New
219396	13n-4(b)(9) - Systems Costs		New
219395	13n-4(b)(9)(x) - Request for Access		New
219394	13n-4(b)(10) - MOUs		New

ICR Details

OMB Control No: 3235-0738	ICR Reference No: 201512-3235-017
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM-270-793
Title: 13n-4 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
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: 02/12/2016
	Date Received in OIRA: 12/23/2015
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.

	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

---

Abstract: The proposed rule amendments would implement the conditional Exchange Act requirement that security-based swap data repositories make data available to certain regulators and other authorities.

---

Authorizing Statute(s): PL: Pub.L. 111 - 203 763(i) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   PL: Pub.L. 114 - 94 86001(b) Name of Law: FAST Act
   US Code: 15 USC 78m(n) Name of Law: Section 13(n) of the Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: US Code: 15 USC 78(m)(n) Name of Law: Section 13(n) of the Securities Exchange Act of 1934

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL74	Proposed rulemaking	80 FR 55181	09/14/2015

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
13n-4(b)(9) - Systems Costs
13n-4(d) - Providing Notification of Requests
13n-4(b)(10) - MOUs
13n-4(b)(9)(x) - Request for Access
13n-4(d) - Records of Requests

---

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 of information.

---

Annual Cost to Federal Government:

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

---

Common Form ICR:  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:

(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: 12/23/2015

---