Swap Data Access Provisions of Part 49 and Certain Other Matters

ICR 202107-3038-003

OMB: 3038-0086

Federal Form Document

IC Document Collections
ICR Details
3038-0086 202107-3038-003
Received in OIRA 202011-3038-004
Swap Data Access Provisions of Part 49 and Certain Other Matters
Revision of a currently approved collection   No
Regular 07/20/2021
  Requested Previously Approved
36 Months From Approved 11/30/2021
462,981,507 4,809,003,137
297,526 189,680
188,433 43,338

The data from the Information Collection is used by the Commission to assess the governance arrangements, operations, and compliance functions of SDRs, and to ensure that registered SDRs are complying with the core principals enumerated in section 21 of the Act. Additionally, the data collected is used for regulatory purposes by the Commission, and is available to other domestic and foreign regulators, including the Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Farm Credit Administration and Federal Housing Finance Agency, Financial Stability Oversight Council, Securities and Exchange Commission, Department of Justice, and any other regulator the Commission determines to be appropriate, including foreign financial supervisors, foreign central banks, and foreign ministries. SDRs also publicly disseminate data pursuant to part 43 of the Commission’s Regulations. The publication of the swap data by a registered SDR is intended to increase transparency in the swaps market for market participants.

US Code: 7 USC 12a(5) Name of Law: Registration of Commodity Dealers and Associated Persons
   US Code: 7 USC 24a Name of Law: Swap Data Repositories
   US Code: 7 USC 21

3038-AE32 Final or interim final rulemaking 85 FR 75601 11/25/2020


IC Title Form No. Form Name
Swap Data Access Provisions of Part 49 and Certain Other Matters

  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 462,981,507 4,809,003,137 0 -4,346,021,630 0 0
Annual Time Burden (Hours) 297,526 189,680 0 107,846 0 0
Annual Cost Burden (Dollars) 188,433 43,338 0 145,095 0 0
Changing Regulations
Change results from changes to the regulations to improve the administration of the SDRs, reduce burden, and increase utility.

Gail Scott 202 418-5139 [email protected]


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.

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