Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of Registered Clearing Agencies

Forms and Documents

Document Name	Status
3235-0196 30 Day Notice.pdf Supplementary Document	2020-04-20
3235-0196 60 Day Notice.pdf Supplementary Document	2020-04-20
DGL REVISED 2020 17a-22 Supporting Statement 01 28 2020.pdf Supporting Statement A	2020-01-30

IC Document Collections

IC ID	Document Title	Status
34544	Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of Registered Clearing Agencies	Modified

ICR Details

OMB Control No: 3235-0196	ICR Reference No: 201911-3235-002
Status: Active	Previous ICR Reference No: 201701-3235-007
Agency/Subagency: SEC	Agency Tracking No: TM-70-202
Title: Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of Registered Clearing Agencies
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/11/2020
	Date Received in OIRA: 04/20/2020
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2023	36 Months From Approved	07/31/2020
Responses	840	0	1,400
Time Burden (Hours)	210	0	350
Cost Burden (Dollars)	0	0	0

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Abstract: Registered clearing agencies must send the Commission copies of materials the clearing agency distributes or makes generally available to its participants and other business contacts. Rule 17a-22 enables the Commission to stay informed about the clearing agency's activities and enhances the Commission's monitoring of the clearing agency's compliance with the Securities Exchange Act of 1934 and applicable regulations.

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Authorizing Statute(s): US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act of 1934, Section 17A
  

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:
	85 FR 8074	02/12/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 21910	04/20/2020
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of Registered Clearing Agencies

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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	840	1,400	0	0	-560	0
Annual Time Burden (Hours)	210	350	0	0	-140	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 aggregate hour burden decreased from 350 hours to 210 hours because the estimated annual number of responses per respondent decreased from 200 to 120.

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Annual Cost to Federal Government: $0

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: 04/20/2020

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