OMB.report

Federal forms, ICRs, and supporting documents

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

Forms and Documents
DocumentTypeStatusAvailability
3235-0751 Supporting Statement (2023 Cybersecurity Risk Management Proposal).pdf Supporting Statement A Uploaded 2023-06-22 Missing upstream
IC Document Collections
IC IDCollectionTypeStatusForm
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
ICR Details
StatusReceived in OIRA
Agency/SubagencySEC
OMB Control No3235-0751
Type of Information CollectionRevision of a currently approved collection
Previous ICR Reference No202301-3235-028
Agency Tracking NoTM-270-668
Date Submitted to OIRA1969-12-31
Requested Expiration Date1969-12-31