Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

ICR 201806-3235-014

OMB: 3235-0498

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2019-02-05
Supplementary Document
2019-02-05
Supplementary Document
2019-02-05
ICR Details
3235-0498 201806-3235-014
Active 201509-3235-001
SEC TM-270-442
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
Extension without change of a currently approved collection   No
Regular
Approved without change 04/25/2019
Retrieve Notice of Action (NOA) 02/05/2019
  Inventory as of this Action Requested Previously Approved
04/30/2022 36 Months From Approved 04/30/2019
12 0 30
1,080 0 900
277,800 0 231,500

Rule 17a-12 sets forth requirements for OTC derivatives dealers registered with the Commission to report financial and operational information to the Commission. Form X-17A-5IIB is the form used by OTC derivatives dealers to report this information.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  83 FR 42959 08/24/2018
83 FR 55209 11/02/2018
No

2
IC Title Form No. Form Name
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. SEC 2430 Form X-17A-5
Rule 17a-12 Professional Accountant Review Requirements

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 12 30 0 0 -18 0
Annual Time Burden (Hours) 1,080 900 0 0 180 0
Annual Cost Burden (Dollars) 277,800 231,500 0 0 46,300 0
No
No
The number of firms registered with the Commission as OTC derivatives dealers has changed from four firms to three firms. The staff now expects that three more firms will register with the Commission as an OTC derivatives dealer within the next three years. Formerly, the staff estimated that one more firm would register as an OTC derivatives dealer. Therefore, the total number of respondents has changed from five to six. As a result, the total annual hour reporting burden and the annual industry-wide reporting cost have increased.

$0
No
    No
    No
No
No
No
Uncollected
Rose Wells 202 942-0143

  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.
02/05/2019


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