Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants

Forms and Documents

Document	Type	Status	Availability
Form Form SBSE IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form and Instruction	Modified	Repair queued
Form Form SBSE IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process	Form and Instruction	Modified	Repair queued
Form Form SBSE-W IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form	Form and Instruction	Modified	Repair queued
Form Form SBSE IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form and Instruction	Modified	Repair queued
Form Form SBSE-C IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications	Form and Instruction	Modified	Repair queued
Form Form SBSE IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	Form and Instruction	Modified	Repair queued
Form Form SBSE-BD IC3 - Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form	Form and Instruction	Modified	Repair queued
Form Form SBSE-A IC2 - Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form	Form and Instruction	Modified	Missing upstream
Form Form SBSE IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form	Form and Instruction	Modified	Missing upstream
3235-0696 2021-24429.pdf	Supplementary Document	Uploaded 2022-01-03	Repair queued
3235-0696.pdf	Supplementary Document	Uploaded 2022-01-03	Repair queued
EDGAR PIA 2016.pdf	Supplementary Document	Uploaded 2019-02-05	Repair queued
SBSE Supporting Statement 2021.pdf	Supporting Statement A	Uploaded 2021-11-01	Repair queued
30 day notice for registration requirements for security based swap dealers.pdf	Supplementary Document	Uploaded 2019-02-05	Repair queued
60 day notice for registration requirements for security based swap dealers.pdf	Supplementary Document	Uploaded 2019-02-05	Missing upstream

IC Document Collections

IC ID	Collection	Type	Status	Form
217899	IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form and Instruction	Modified
217898	IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process	Form and Instruction	Modified
217897	IC8 - Rule 15Fb6-2: Review and Sign Employment Questionnaire - Major SBS Participants already registered or registering with the SEC or the CFTC		Modified
217896	IC6 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers registered or registering with the SEC or the CFTC		Modified
199814	IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form	Form and Instruction	Modified
199813	IC12 - Rule 15Fb1-1: Retain Manually Signed Signature Pages		Modified
199812	IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form and Instruction	Modified
199807	IC7 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers not registered or registering with the SEC or the CFTC		Modified
199804	IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications	Form and Instruction	Modified
199803	IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	Form and Instruction	Modified
199801	IC3 - Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form	Form and Instruction	Modified
199800	IC2 - Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form	Form and Instruction	Modified
199799	IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0696	ICR Reference No: 202110-3235-019
Status: Received in OIRA	Previous ICR Reference No: 201811-3235-005
Agency/Subagency: SEC	Agency Tracking No: TM-270-642
Title: Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/03/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2022
Responses	21,821	411
Time Burden (Hours)	9,825	9,825
Cost Burden (Dollars)	212,205	212,205

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Abstract: Rules 15Fb1-1 through 15Fb6-1 are designed to provide security-based swap dealers and major security-based swap participants with a method by which they can register with the Commission. Forms SBSE, SBSE-A, SBSE-BD, and SBSE-C are designed to provide the Commission with information necessary to determine whether to grant registration. Form SBSE-W is designed to provide the Commission with information necessary to determine whether it is appropriate to allow an entity to withdraw from registration.

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Authorizing Statute(s): US Code: 15 USC 78dd Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o-10(a) through (d) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: US Code: 15 USC 78o-10(a) through (d) Name of Law: Securities Exchange Act of 1934

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 62233	11/09/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 137	01/03/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 13

IC Title	Form No.	Form Name
IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form	Form SBSE	Form SBSE
IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process	Form SBSE, Form SBSE-A, Form SBSE-BD	Form SBSE ,   Form SBSE-A ,   Form SBSE-BD
IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form SBSE-BD, Form SBSE-A, Form SBSE	Form SBSE ,   Form SBSE-A ,   Form SBSE-BD
IC12 - Rule 15Fb1-1: Retain Manually Signed Signature Pages
IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form	Form SBSE-W	Form SBSE-W
IC2 - Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form	Form SBSE-A	Form SBSE-A
IC3 - Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form	Form SBSE-BD	Form SBSE-BD
IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	Form SBSE, Form SBSE-A, Form SBSE-BD	Form SBSE ,   Form SBSE-A ,   Form SBSE-BD
IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications	Form SBSE-C	Form SBSE-C
IC6 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers registered or registering with the SEC or the CFTC
IC7 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers not registered or registering with the SEC or the CFTC
IC8 - Rule 15Fb6-2: Review and Sign Employment Questionnaire - Major SBS Participants already registered or registering with the SEC or the CFTC
IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form SBSE, Form SBSE-A, Form SBSE-BD	Form SBSE ,   Form SBSE-A ,   Form SBSE-BD

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ICR Summary 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	21,821	411	0	0	21,410	0
Annual Time Burden (Hours)	9,825	9,825	0	0	0	0
Annual Cost Burden (Dollars)	212,205	212,205	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: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $8,250

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.     Yes

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: 01/03/2022

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