Voluntary Survey: Cost of AML/CFR Compliance

Forms and Documents

Document	Type	Status	Availability
ICI Comment Letter - SEC Survey on AML Costs (Feb 2026) final.pdf	Public Comments	Uploaded 2026-02-20	Available
20260123_BSA_Survey_2026-01306_91 FR 2986_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-01-23	Available
20260123_BSA_Survey_2026-01306_91 FR 2986_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-01-23	Repair queued
Federal Register 60-Day Notice 2025-20493.pdf	Supplementary Document	Uploaded 2026-01-21	Available
Federal Register 60-Day Notice 2025-20493.pdf	Supplementary Document	Uploaded 2026-01-21	Repair queued
Supporting Statement- New Request (Proposed Voluntary Survey).pdf	Supporting Statement A	Uploaded 2026-01-15	Available
Supporting Statement- New Request (Proposed Voluntary Survey).pdf	Supporting Statement A	Uploaded 2026-01-15	Missing upstream

IC Document Collections

IC ID	Collection	Type	Status	Form
278761	Cost of AML/CFT BSA Burden Survey	Other-Survey	New

ICR Details

OMB Control No: 3235-0819	ICR Reference No: 202601-3235-009
Status: Active	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Voluntary Survey: Cost of AML/CFR Compliance
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: Approved without change	Conclusion Date: 03/23/2026
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/23/2026
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2029	36 Months From Approved
Responses	4,644	0	0
Time Burden (Hours)	37,152	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The SEC proposes to gather information by means of a survey to be completed by SEC registrants with Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) obligations under the Bank Secrecy Act. The information collection would be a voluntary reporting collection to gather data about the financial impact of compliance with these regulations. The information collection is designed to help in the assessment of the financial impact of these regulations and may inform efforts to adjust regulatory obligations and advance deregulatory proposals consistent with the executive orders of the Trump administration. The data may also support the development of deregulatory rulemakings or guidance to reduce compliance burden without compromising the effectiveness of current AML/CFT frameworks. The SEC would not make individual responses to the survey publicly available nor use them for examination and enforcement purposes.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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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:
	90 FR 52764	11/21/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 2986	01/23/2026
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
Cost of AML/CFT BSA Burden Survey

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ICR Summary 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	4,644	0	0	4,644	0	0
Annual Time Burden (Hours)	37,152	0	0	37,152	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The voluntary survey, if completed, would result in an estimated hour burden for respondents. The purpose of the survey and the estimated burden are discussed in more detail in the attached Supporting Statement.

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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]? 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

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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: 01/23/2026

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