Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0752 (Rule 18a-9) Supporting Statement - Adopting Release.pdf	Supporting Statement A	Uploaded 2021-04-15	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
223470	Securities Count Program		Modified

ICR Details

OMB Control No: 3235-0752	ICR Reference No: 202104-3235-005
Status: Received in OIRA	Previous ICR Reference No: 201609-3235-004
Agency/Subagency: SEC	Agency Tracking No: TM-270-771
Title: Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/05/2021

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	6	0
Time Burden (Hours)	650	0
Cost Burden (Dollars)	0	0

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Abstract: Rule 18a-9, as adopted, would require stand-alone SBSDs to note any discrepancies between the count and the firm’s records, and to record in the firm’s record any discrepancies that remain unresolved seven business days after the date of the examination, count, and verification. Rule 18a-9 would allow the Commission to exempt any stand-alone SBSD from the rule if the Commission determines that it is not necessary in the public interest and for the protection of investors to subject the firm to certain or all of the provisions of the rule.

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Authorizing Statute(s): US Code: 15 USC 78o-10 Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 764 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 764 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL45	Final or interim final rulemaking	84 FR 68550	12/16/2019

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Securities Count Program

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	6	0	9	-3	0	0
Annual Time Burden (Hours)	650	0	975	-325	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commission's estimated burden has decreased because of a reduction in the estimated number of respondents due to related amendments in Rule 18a-10. These changes are described in more detail in Item 15 of the Supporting Statement.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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Common Form ICR:  No

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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: 05/05/2021

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