Regulation SBSR (Rules 900 - 912) – Reporting and Dissemination of Security-Based Swap Information

Forms and Documents

Document Name	Status

No forms / supporting documents in this ICR. Check IC Document Collections.

IC Document Collections

IC ID	Document Title	Status
222483	905 - Clearing Agencies	Modified
221243	906(c) - Registered Broker-Dealer Participants	Unchanged
221242	905 - Reporting Sides - New Respondents	Unchanged
221241	901 - Reporting Sides - New Respondents	Modified
221240	906(c) - Registered Clearing Agencies and Platforms	Modified
221239	901 - Clearing Agencies	Modified
221238	905 - Platforms	Modified
221237	901 - Platforms	Modified
214964	Rule 908(c) - Requesting Entities	Modified
214963	Rule 903(a) - Participants with LEIs	Modified
214962	Rule 903(a) - Participants without LEIs	Modified
195791	Rule 907 - SDR	Modified
195790	Rule 906(c) - Security-Based Swap Dealers and Major Security-Based Swap Participants	Modified
195789	Rule 906(b) - Participants	Modified
195788	Rule 906(a) - Participants	Modified
195787	Rule 906 - SDR	Unchanged
195786	Rule 905 - SDR	Modified
195785	Rule 905 - Participants	Modified
195784	Rule 905 - Reporting Sides	Modified
195783	Rule 904 - SDRs	Unchanged
195782	Rule 902 - SDRs	Modified
195781	Rule 901 - SDRs	Unchanged
195780	Rule 901 - Reporting Sides	Modified

ICR Details

OMB Control No: 3235-0718	ICR Reference No: 202512-3235-020
Status: Received in OIRA	Previous ICR Reference No: 202210-3235-032
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Regulation SBSR (Rules 900 - 912) – Reporting and Dissemination of Security-Based Swap Information
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/06/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	26,391,658	27,600,667
Time Burden (Hours)	3,173,443	3,539,483
Cost Burden (Dollars)	51,162,200	47,728,783

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Abstract: The Dodd-Frank Act amended the Exchange Act to require the Commission to adopt rules providing for, among other things (i) the reporting of security-based swaps ("SBSs") to a registered security-based swap data repository ("SDR") or to the Commission; and (ii) real-time public dissemination of SBS transaction, volume, and pricing information. Pursuant to Sections 763 and 766 of Title VII of the Dodd-Frank Act, the Commission adopted Regulation SBSR to fulfill these requirements.

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Authorizing Statute(s): PL: Pub.L. 111 - 203 763, 766 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 763, 766 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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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:
	90 FR 61462	12/31/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 11116	03/06/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 23

IC Title	Form No.	Form Name
901 - Clearing Agencies
901 - Platforms
901 - Reporting Sides - New Respondents
905 - Clearing Agencies
905 - Platforms
905 - Reporting Sides - New Respondents
906(c) - Registered Broker-Dealer Participants
906(c) - Registered Clearing Agencies and Platforms
Rule 901 - Reporting Sides
Rule 901 - SDRs
Rule 902 - SDRs
Rule 903(a) - Participants with LEIs
Rule 903(a) - Participants without LEIs
Rule 904 - SDRs
Rule 905 - Participants
Rule 905 - Reporting Sides
Rule 905 - SDR
Rule 906 - SDR
Rule 906(a) - Participants
Rule 906(b) - Participants
Rule 906(c) - Security-Based Swap Dealers and Major Security-Based Swap Participants
Rule 907 - SDR
Rule 908(c) - Requesting Entities

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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	26,391,658	27,600,667	0	-1,209,009	0	0
Annual Time Burden (Hours)	3,173,443	3,539,483	0	-366,040	0	0
Annual Cost Burden (Dollars)	51,162,200	47,728,783	0	3,433,417	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Some estimates have been adjusted with respect to the number of respondents, and this has resulted in changes to the related estimated burdens. These changes are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government:

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]? Yes

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: 03/06/2026

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