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

ICR 202110-3235-010

OMB: 3235-0498

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2022-01-11
Supplementary Document
2022-01-11
Supplementary Document
2022-01-11
Supplementary Document
2019-02-05
Supplementary Document
2019-02-05
ICR Details
3235-0498 202110-3235-010
Received in OIRA 201806-3235-014
SEC TM-270-442
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
Extension without change of a currently approved collection   No
Regular 01/11/2022
  Requested Previously Approved
36 Months From Approved 04/30/2022
4 12
360 1,080
92,600 277,800

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

  86 FR 62235 11/09/2021
87 FR 1465 01/11/2022
No

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

  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 4 12 0 0 -8 0
Annual Time Burden (Hours) 360 1,080 0 0 -720 0
Annual Cost Burden (Dollars) 92,600 277,800 0 0 -185,200 0
No
No
The annual hour burden has decreased from approximately 1,080 hours to approximately 360 hours and the annual cost burden has decreased from approximately $277,800 to approximately $92,600 because the estimated number of respondents subject to the rule has decreased from 6 to 2.

$0
No
    No
    No
No
No
No
No
Timothy Fox 202 551-5687

  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.
01/11/2022


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