Information Collection Request
Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants
ICR 202301-3235-028 · OMB 3235-0751 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0751 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 3235-0751 Supporting Statement (02.08.23).pdf |
Supporting Statement A | Uploaded 2023-02-09 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 258422 |  Rule 18a-6(b)(1)(i) - Risk Mitigation |
New | ||
| 258138 | Alternative undertaking - Cloud Service Providers |
New | ||
| 258137 | Alternative undertaking - SBS Entities |
New | ||
| 253938 | 18a-6(e ) - Audit Trail Alternative to WORM |
Modified | ||
| 253936 | 18a-6(e ) - Backup or Redundancy Alternative Recordkeeping Systems for SBS Entities |
Modified | ||
| 253935 | 18a-6(e)- Third Party or Designated Officer Undertaking |
Modified | ||
| 223096 | Third-Party Custodians |
Unchanged | ||
| 223095 | Bank SBSDs: Paragraphs (b)(2)(i) and (b)(2)(v) |
Unchanged | ||
| 223094 | Bank SBSDs and bank MSBSPs: Paragraphs (a)(2), (b)(2)(i) (b)(2)(iv), (b(2)(vi)-(viii), (d)(1),(d)(2)(ii), (d)(3)(ii) |
Unchanged | ||
| 223093 | ANC stand-alone SBSDs: Paragraph (b)(1)(x) |
Unchanged | ||
| 223092 | Stand-alone SBSDs: Paragraphs (b)(1)(i), (a)(14), and (a)(16) |
Unchanged | ||
| 223091 | Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1), (b)(1)(ii) (b)(1)(ix), (b)(1)(xi) (b)(1)(xiii), (c), (d)(1), (d)(2)(i), and (d)(3)(i) |
Unchanged |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0751 |
| Type of Information Collection | Revision of a currently approved collection |
| Previous ICR Reference No | 202205-3235-050 |
| Agency Tracking No | TM-270-668 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |