Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rules 13n-4(b)(9), (b)(10) and (d)
Published Date: 2/6/2026
Notice
Summary
The SEC is asking to keep collecting info about sharing security-based swap data with certain U.S. government groups and others they approve. This helps regulators watch the market better and keep things fair. About 50 groups will spend time setting up confidentiality agreements, costing around $120,000 and 11,405 hours total each year.
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Previous / Next Documents
Previous: 2026-02407 — Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ad-10
The SEC is asking to keep Rule 17Ad-10 going, which helps transfer agents keep super accurate records of who owns what stocks and bonds. About 319 transfer agents spend around 80 hours a year making sure everything’s correct and reporting any mix-ups. This rule keeps the financial world honest and running smoothly, with no extra costs or secret info collected.
Next: 2026-02409 — Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 3a71-3(d)
The SEC is asking to keep collecting info from up to 24 companies that use a special rule to avoid counting certain swap deals made by U.S. staff with foreign partners. This helps these companies follow the rules without extra hassle. The paperwork takes a lot of time—over 235,000 hours yearly—and costs about $1.36 million, so the SEC wants to keep things clear and fair.