Information Collection Request

Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants

ICR 202301-3235-028 · OMB 3235-0751 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0751 can be found here:

Forms and Documents

Document Name	Status
3235-0751 Supporting Statement (02.08.23).pdf Supporting Statement A	2023-02-09

IC Document Collections

IC ID	Document Title	Status
258422	Rule 18a-6(b)(1)(i) - Risk Mitigation	New
258138	Alternative undertaking - Cloud Service Providers	New
258137	Alternative undertaking - SBS Entities	New
253938	18a-6(e ) - Audit Trail Alternative to WORM	Modified
253936	18a-6(e ) - Backup or Redundancy Alternative Recordkeeping Systems for SBS Entities	Modified
253935	18a-6(e)- Third Party or Designated Officer Undertaking	Modified
223096	Third-Party Custodians	Unchanged
223095	Bank SBSDs: Paragraphs (b)(2)(i) and (b)(2)(v)	Unchanged
223094	Bank SBSDs and bank MSBSPs: Paragraphs (a)(2), (b)(2)(i) (b)(2)(iv), (b(2)(vi)-(viii), (d)(1),(d)(2)(ii), (d)(3)(ii)	Unchanged
223093	ANC stand-alone SBSDs: Paragraph (b)(1)(x)	Unchanged
223092	Stand-alone SBSDs: Paragraphs (b)(1)(i), (a)(14), and (a)(16)	Unchanged
223091	Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1), (b)(1)(ii) (b)(1)(ix), (b)(1)(xi) (b)(1)(xiii), (c), (d)(1), (d)(2)(i), and (d)(3)(i)	Unchanged

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0751
Type of Information Collection	Revision of a currently approved collection
Previous ICR Reference No	202205-3235-050
Agency Tracking No	TM-270-668
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31