Information Collection Request

Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants

ICR 202306-3235-019 · 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⚠️ Notice: This information collection may be outdated.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

Forms and supporting documents for this ICR
Document	Type	Status	Availability
3235-0751 Supporting Statement (2023 Cybersecurity Risk Management Proposal).pdf	Supporting Statement A	Uploaded 2023-06-22	Repair queued

Information collection document groups
IC ID	Collection	Status
260766	SBS Entities – Retention of written report documenting annual review	New
260765	SBS Entities – Retention of copy of any Form SCIR or immediate notice to the Commission	New
260764	SBS Entities – Retention of records documenting a cybersecurity incident	New
260763	SBS Entities – Retention of records documenting a Covered Entity's cybersecurity risk assessment	New
260762	SBS Entities – Retention of copy of any public disclosures	New
260761	SBS Entities - Retention of cybersecurity policies and procedures	New
258422	Rule 18a-6(b)(1)(i) - Risk Mitigation	Unchanged
258138	Alternative undertaking - Cloud Service Providers	Unchanged
258137	Alternative undertaking - SBS Entities	Unchanged
253938	18a-6(e ) - Audit Trail Alternative to WORM	Unchanged
253936	18a-6(e ) - Backup or Redundancy Alternative Recordkeeping Systems for SBS Entities	Unchanged
253935	18a-6(e)- Third Party or Designated Officer Undertaking	Unchanged
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

Record metadata
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	202301-3235-028
Agency Tracking No	TM-270-668
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31