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

ICR 201906-3235-004

OMB: 3235-0738

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2019-10-28
Supplementary Document
2019-10-28
Supporting Statement A
2019-07-26
IC Document Collections
ICR Details
3235-0738 201906-3235-004
Active 201609-3235-001
SEC TM-270-793
13n-4 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
Extension without change of a currently approved collection   No
Regular
Approved without change 12/10/2019
Retrieve Notice of Action (NOA) 10/28/2019
  Inventory as of this Action Requested Previously Approved
12/31/2022 36 Months From Approved 01/31/2020
3,071 0 3,071
35,780 0 35,780
400,000 0 400,000

The rule amendments implement the conditional Exchange Act requirement that security-based swap data repositories make data available to certain regulators and other authorities, and would set forth a conditional exemption from the statutory indemnification requirement associated with that regulatory access provision.

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

Not associated with rulemaking

  84 FR 37939 08/02/2019
84 FR 55630 10/17/2019
No

  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 3,071 3,071 0 0 0 0
Annual Time Burden (Hours) 35,780 35,780 0 0 0 0
Annual Cost Burden (Dollars) 400,000 400,000 0 0 0 0
No
No

No
    No
    No
No
Yes
No
Uncollected
Joshua Kans 202 551-7559 [email protected]

  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.
10/28/2019


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