Rule 10 and Form SCIR

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form Form SCIR Form SCIR	Form	New	Available
Form Form SCIR Disclosure on Part II of Form SCIR and Website	Form	New	Repair queued
Form Form SCIR Form SCIR	Form	New	Available
Form Form SCIR Filing amended Part I of Form SCIR	Form	New	Repair queued
Form Form SCIR Form SCIR	Form	New	Available
Form Form SCIR Filling out initial Part I of Form SCIR	Form	New	Repair queued
Supporting Statement for Proposed Rule 10 and Proposed Form SCIR.pdf	Supporting Statement A	Uploaded 2023-04-11	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
260650	File Form SCIR using custom XML		New
259609	Disclosure on Part II of Form SCIR and Website	Form	New	Form SCIR
259609	Disclosure on Part II of Form SCIR and Website	Form	New
259608	Filing amended Part I of Form SCIR	Form	New	Form SCIR
259608	Filing amended Part I of Form SCIR	Form	New
259607	Filling out initial Part I of Form SCIR	Form	New	Form SCIR
259607	Filling out initial Part I of Form SCIR	Form	New
259606	Annual delivery of disclosures to customers (Covered BDs)		New
259605	Delivery of disclosures to new customers (Covered BDs)		New
259604	Determination of Signficant Cybersecurity Incident and Immediate Notification to Commission		New
259603	Non-Covered BD - Annual review		New
259602	Non-Covered BD - Policies and Procedures		New
259601	Covered Entity - Annual review		New
259599	Covered Entity - Policies and Procedures		New

ICR Details

OMB Control No: 3235-0808	ICR Reference No: 202304-3235-010
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No:
Title: Rule 10 and Form SCIR
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 06/22/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/12/2023
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

---

Abstract: Cybersecurity rule for certain market entities that includes requirements for policies and procedures, notification and reporting to the Commission, public disclosure, and recordkeeping.

---

Authorizing Statute(s): US Code: 15 USC USC Name of Law: 78
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AN15	Proposed rulemaking	88 FR 20212	04/05/2023

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 11

table that charts list of burden

IC Title	Form No.	Form Name
Annual delivery of disclosures to customers (Covered BDs)
Covered Entity - Annual review
Covered Entity - Policies and Procedures
Delivery of disclosures to new customers (Covered BDs)
Determination of Signficant Cybersecurity Incident and Immediate Notification to Commission
Disclosure on Part II of Form SCIR and Website	Form SCIR	Form SCIR
File Form SCIR using custom XML
Filing amended Part I of Form SCIR	Form SCIR	Form SCIR
Filling out initial Part I of Form SCIR	Form SCIR	Form SCIR
Non-Covered BD - Annual review
Non-Covered BD - Policies and Procedures

---

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission has proposed a new rule and form that, if adopted, would impose collection of information requirements. These are discussed in more detail in the attached Supporting Statement.

---

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]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  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:

(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: 04/12/2023

---