Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States
ICR 201909-3235-004
OMB: 3235-0771
Federal Form Document
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0771 can be found here:
Rule 3a71-3(d) - Conditional
Exception from De Minimis Counting Requirement in Connection with
Certain Transactions Arranged, Negotiated or Executed in the United
States
New
collection (Request for a new OMB Control Number)
OMB files this
comment in accordance with 5 CFR 1320.11(c). This OMB action is not
an approval to conduct or sponsor an information collection under
the Paperwork Reduction Act of 1995. This action has no effect on
any current approvals. If OMB has assigned this ICR a new OMB
Control Number, the OMB Control Number will not appear in the
active inventory. For future submissions of this information
collection, reference the OMB Control Number provided. 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
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The Securities and Exchange Commission
adopted new paragraph (d) to Exchange Act rule 3a71-3, to provide a
conditional exception from the security-based swap dealer de
minimis counting requirement for certain transactions arranged,
negotiated or executed by personnel in the United States.
The burdens would increase
because we have proposed a new rule that would entail new hour and
cost burdens. These burdens are described in more detail in the
Supporting Statement.
No
No
No
No
Yes
No
Uncollected
Joshua Kans 202 551-7559
kansj@sec.gov
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.