Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 240.17Ab2- 1) and Form CA-1 (17 CFR 249b.200)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1853 Form CA-1	Form and Instruction	Modified	Available
Form SEC 1853 Form CA-1	Form and Instruction	New	Available
3235-0195_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-14	Available
3235-0195_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-09	Available
2026 Rule 17Ab2-1 Supporting Statement.pdf	Supporting Statement A	Uploaded 2026-07-02	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34540	Rule 17Ab2-1 and Form CA-1 - Initial Filings	Form and Instruction	Modified	Form CA-1
281313	Rule 17Ab2-1 and Form CA-1 - Amended Filings	Form and Instruction	New	Form CA-1

ICR Details

OMB Control No: 3235-0195	ICR Reference No: 202607-3235-001
Status: Received in OIRA	Previous ICR Reference No: 202305-3235-024
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 240.17Ab2- 1) and Form CA-1 (17 CFR 249b.200)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/14/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	10/31/2026
Responses	13	1
Time Burden (Hours)	2,553	400
Cost Burden (Dollars)	121,770	23,200

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Abstract: Rule 17Ab2-1 and Form CA-1 require clearing agencies to register with the Commission and to meet certain requirements with regard to, among other things, a clearing agency's organization, capacities, and rules. The information is collected from the clearing agency upon the initial application for registration on Form CA-1. Thereafter, information is collected by amendment to the initial Form CA-1 when material changes in circumstances necessitate modification of the information previously provided to the Commission.

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Authorizing Statute(s): US Code: 15 USC 78a, et seq. Name of Law: Securities Exchange Act of 1934
  

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:
	91 FR 42587	07/09/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 58221	09/14/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Rule 17Ab2-1 and Form CA-1 - Amended Filings	SEC 1853	Form CA-1
Rule 17Ab2-1 and Form CA-1 - Initial Filings	SEC 1853	Form CA-1

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	13	1	0	0	12	0
Annual Time Burden (Hours)	2,553	400	0	0	2,153	0
Annual Cost Burden (Dollars)	121,770	23,200	0	0	98,570	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 cost burden estimates changed to reflect: (1) the most recent updated wage and salary information for the industry, 2) the uptick in length and complexity of Form CA-1 applications, (3) an increase in novel issues that may result in use of external counsel for both applications and amendments, and (4) the uptick in the total number of responses annually. In addition, Commission staff summarized the burdens in two categories (Initial Filings and Amended Filings) rather than a single category.

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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.     Yes

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: 09/14/2026

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