Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
3235-0752.pdf	Supplementary Document	Uploaded 2024-06-17	Repair queued
3235-0752.pdf	Supplementary Document	Uploaded 2024-06-17	Repair queued
2024 Rule 18a-9 Supporting Statement.pdf	Supporting Statement A	Uploaded 2024-04-05	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
223470	Securities Count Program		Modified

ICR Details

OMB Control No: 3235-0752	ICR Reference No: 202404-3235-004
Status: Active	Previous ICR Reference No: 202104-3235-005
Agency/Subagency: SEC	Agency Tracking No: TM-270-771
Title: Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/15/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/17/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2027	36 Months From Approved	08/31/2024
Responses	44	0	6
Time Burden (Hours)	1,100	0	650
Cost Burden (Dollars)	0	0	0

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Abstract: Rule 18a-9 would require stand-alone SBSDs to note any discrepancies between the count and the firm’s records, and to record in the firm’s record any discrepancies that remain unresolved seven business days after the date of the examination, count, and verification. Rule 18a-9 would allow the Commission to exempt any stand-alone SBSD from the rule if the Commission determines that it is not necessary in the public interest and for the protection of investors to subject the firm to certain or all of the provisions of the rule.

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Authorizing Statute(s): US Code: 15 USC 78o-10 Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 764 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 764 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

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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:
	89 FR 25676	04/11/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 50652	06/14/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Securities Count Program

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ICR Summary of Burden

table that charts list of burden

	Total Approved	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	44	6	0	0	38	0
Annual Time Burden (Hours)	1,100	650	0	0	450	0
Annual Cost Burden (Dollars)	0	0	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: The estimated burdens have increased as a result of the burden estimate being revised to reflect an increase in the number of respondents.

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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]? 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: 06/17/2024

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