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

Forms and Documents

Document Name	Status
3 2014 17A-22 Justification - DGL REVISED.pdf Supporting Statement A	2014-04-30

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: 201312-3235-020
Status: Historical Active	Previous ICR Reference No: 201103-3235-008
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: 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: 07/06/2014
	Date Received in OIRA: 04/30/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2017	36 Months From Approved	07/31/2014
Responses	1,400	0	800
Time Burden (Hours)	350	0	200
Cost Burden (Dollars)	0	0	3,200

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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:
	79 FR 862	01/07/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 14310	03/13/2014
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	1,400	800	0	0	600	0
Annual Time Burden (Hours)	350	200	0	0	150	0
Annual Cost Burden (Dollars)	0	3,200	0	0	-3,200	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 increase in the estimated respondent annual time burden from 200 hours in the previous submission in 2011 to 350 now is due to an increase in the number of active registered clearing agencies subject to the rule. The reduction in the annual dollar cost burden from $3,200 to $0 is due to the elimination of internal postage and administrative costs that were inadvertently included as item 13 costs in the prior submission.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

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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: 04/30/2014

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