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

Forms and Documents

Document Name	Status
3235-0196 Supporting Statement (2025 Final Rule Amendment).pdf Supporting Statement A	2025-01-22
90 FR 7250.pdf Supporting Statement B	2025-01-22

IC Document Collections

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

ICR Details

OMB Control No: 3235-0196	ICR Reference No: 202408-3235-016
Status: Received in OIRA	Previous ICR Reference No: 202306-3235-025
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 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	Date Submitted to OIRA: 06/12/2025

	Requested	Previously Approved
Expiration Date	05/31/2026	05/31/2026
Responses	840	840
Time Burden (Hours)	210	210
Cost Burden (Dollars)	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 (17 CFR 240.17a-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. 2025 PARTIAL REVISION: The Commission has amended Rule 17a-22 to: (i) replace the requirement to file supplementary materials with the Commission or an ARA in paper form with a requirement to post such materials on the clearing agency's internet website; and (ii) reduce the timeframe for compliance with the rule from 10 days to 2 business days for the posting requirement. Rule 17a-22 enables the Commission's monitoring of the clearing agency's compliance with the Securities Exchange Act of 1934 and applicable regulations. The Commission does not estimate that there would be any changes in the burdens as a result of these amendments.

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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:
3235-AL85	Final or interim final rulemaking	90 FR 7250	01/21/2025

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Federal Register Notices & Comments

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 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	840	840	0	0	0	0
Annual Time Burden (Hours)	210	210	0	0	0	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:

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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: 06/12/2025

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