Rule 17Ad-22 Clearing Agency Standards for Operation and Governance

ICR 202310-3235-024

OMB: 3235-0695

Federal Form Document

Forms and Documents
IC Document Collections
IC ID
Document
Title
Status
263108
New
263107
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238130
Unchanged
238128
Unchanged
238127
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238126
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238125
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238124
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238123
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238122
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238121
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238120
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238119
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238118
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238117
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238116
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238115
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238114
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238113
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238112
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238111
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238110
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238109
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238107
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238106
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238102
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223780
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223779
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223778
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223777
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223776
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223775
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223769
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223768
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223767
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223766
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223765
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223764
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223763
Unchanged
223762
Unchanged
223761
Unchanged
223760
Unchanged
223759
Unchanged
223758
Unchanged
203049
Unchanged
203048
Unchanged
203044
Unchanged
203043
Unchanged
203040
Unchanged
ICR Details
3235-0695 202310-3235-024
Received in OIRA 202207-3235-014
SEC TM-270-646
Rule 17Ad-22 Clearing Agency Standards for Operation and Governance
Revision of a currently approved collection   No
Regular 10/30/2023
  Requested Previously Approved
04/30/2026 04/30/2026
254 247
9,428 8,532
14,041,280 14,041,280

Rule 17Ad-22 sets standards for the operation and governance of “covered clearing agencies” (which consist of designated clearing agencies, clearing agencies involved in activities with a more complex risk profile for which the Commodity Futures Trading Commission is not the Supervisory Agency, and any clearing agency determined to be a covered clearing agency by the Commission). Specifically, Rule 17Ad-22 requires covered clearing agencies to establish, implement, maintain and enforce written policies and procedures designed to promote effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis. This submission proposed to add two new information collections arising out of the SEC's proposal to amend Rule 17Ad-26(e)(6). The proposed partial revision would not change any of the other information collections in this control number.

US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 5464(a)(2) Name of Law: Wall Street Reform and Consumer Protection Act
   US Code: 15 USC 78c-3 Name of Law: Securities Exchange Act of 1934
  
US Code: 12 USC 5464(a)(2) Name of Law: Wall Street Reform and Consumer Protection Act

3235-AN19 Proposed rulemaking 88 FR 34708 05/30/2023

No

54
IC Title Form No. Form Name
17Ad-22(e)(6) Enhanced Margin (for respondents already registered)
17Ad-22(e)(6) Enhanced Margin (for respondents not registered)
IC 35 - 17Ad-22(e)(15) (for respondents already registered)
IC 37 - 17Ad-22(e)(16) (for respondents already registered)
IC1 - Rules 17Ad-22(b)(1)-(3)
IC10 - 17Ad-22(e)(2) (for respondents already registered)
IC11 - 17Ad-22(e)(2) (for respondent not registered)
IC12 - 17Ad-22(e)(3) (for respondents already registered)
IC13 - 17Ad-22(e)(3) (for respondent not registered)
IC14 - 17Ad-22(e)(4) (for respondents already registered)
IC15 - 17Ad-22(e)(4) (for respondent not registered)
IC16 - 17Ad-22(e)(5) (for respondents already registered)
IC17 - 17Ad-22(e)(5) (for respondent not registered)
IC18 - 17Ad-22(e)(6) (for respondents already registered)
IC19 - 17Ad-22(e)(6) (for respondent not registered)
IC2 - Rule 17Ad-22(b)(4) - Model Validation
IC20 - 17Ad-22(e)(7) (for respondents already registered)
IC21 - 17Ad-22(e)(7) (for respondent not registered)
IC22 - 17Ad-22(e)(8) (for respondents already registered)
IC23 - 17Ad-22(e)(8) (for respondent not registered)
IC24 - 17Ad-22(e)(9) (for respondents already registered)
IC25 - 17Ad-22(e)(9) (for respondent not registered)
IC26 - 17Ad-22(e)(10) (for respondents already registered)
IC27 - 17Ad-22(e)(10) (for respondent not registered)
IC28 - Rule 17Ad-22(e)(11)
IC29 - 17Ad-22(e)(12) (for respondents already registered)
IC3 - Rules 17Ad-22(b)(5)-(7)
IC30 - 17Ad-22(e)(12) (for respondents not registered)
IC31 - 17Ad-22(e)(13) (for respondents already registered)
IC32 - 17Ad-22(e)(13) (for respondent not registered)
IC33 - 17Ad-22(e)(14) (for respondents already registered)
IC34 - 17Ad-22(e)(14) (for respondent not registered)
IC36 - 17Ad-22(e)(15) (for respondent not registered)
IC38 - 17Ad-22(e)(16) (for respondent not registered)
IC39 - 17Ad-22(e)(17) (for respondents already registered
IC4 - Rule 17Ad-22(c)(1) - Record of Financial Resources
IC40 - 17Ad-22(e)(17) (for respondent not registered)
IC41 - 17Ad-22(e)(18) (for respondents already registered)
IC42 - 17Ad-22(e)(18) (for respondent not registered)
IC43 - 17Ad-22(e)(19) (for respondents already registered)
IC44 - 17Ad-22(e)(19) (for respondent not registered)
IC45 - 17Ad-22(e)(20) (for respondents already registered)
IC46 - 7Ad-22(e)(20) (for respondent not registered)
IC47 - 17Ad-22(e)(21) (for respondents already registered)
IC48 - 17Ad-22(e)(21) (for respondent not registered)
IC49 - 17Ad-22(e)(22) (for respondents already registered)
IC5 - Rule 17Ad-22(c)(2) (for respondents already registered)
IC50 - 17Ad-22(e)(22) (for respondent not registered)
IC51 - 17Ad-22(e)(23) (for respondents already registered)
IC52 - 17Ad-22(e)(23) (for respondent not registered)
IC6 - Rule 17Ad-22(c)(2) (for respondents not registered)
IC7 - Rules 17Ad-22(d)(1)-(15)
IC9 - 17Ad-22(e)(1) (for respondent not registered)
Rule 17Ad-22(e)(1)

  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 254 247 0 7 0 0
Annual Time Burden (Hours) 9,428 8,532 0 896 0 0
Annual Cost Burden (Dollars) 14,041,280 14,041,280 0 0 0 0
Yes
Changing Regulations
No
The Commission has proposed an amendment to the rule that would add two new information collections with hour burdens. These are discussed in more detail in the attached Supporting Statement.

$0
No
    No
    No
No
Yes
No
No
Jesse Capelle 202 551-6468

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
10/30/2023


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