[Federal Register Volume 89, Number 116 (Friday, June 14, 2024)]
[Notices]
[Page 50652]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-13173]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-771, OMB Control No. 3235-0752]


Submission for OMB Review; Comment Request; Extension: Rule 18a-9

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 
20549-2736.

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
previously approved collection of information provided for in Rule 18a-
9, under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 18a-9, which is modeled on Exchange Act Rule 17a-13, 
establishes a securities count program for security-based swap dealers 
not dually registered as a broker-dealer or regulated by a prudential 
regulator (``stand-alone SBSDs''). Specifically, Rule 18a-9 requires 
stand-alone SBSDs to examine and count the securities they physically 
hold, account for the securities that are subject to their control and 
direction but are not in their physical possession, verify the 
locations of securities under certain circumstances, and compare the 
results of the count and verification with their records.
    Stand-alone SBSDs are required to perform a securities count each 
quarter, either as of a date certain or on a cyclical basis. Rule 18a-9 
requires stand-alone SBSDs to note any discrepancies between the count 
and the firm's records, and to record in the firm's record any 
discrepancies that remain unresolved seven business days after the date 
of the examination, count, and verification.
    The Commission estimates that the total hour burden under Rule 18a-
9 is approximately 1,100 hours per year. Since the last approval of 
this information collection, the estimated total burden hours per year 
has increased due to an increase in the estimated number of respondents 
subject to the requirements of the Rule.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    The public may view background documentation for this information 
collection at the following website: www.reginfo.gov. Find this 
particular information collection by selecting ``Currently under 30-day 
Review--Open for Public Comments'' or by using the search function. 
Written comments and recommendations for the proposed information 
collection should be sent by July 15, 2024 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F 
Street NE, Washington, DC 20549, or by sending an email to 
[email protected].

    Dated: June 11, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-13173 Filed 6-13-24; 8:45 am]
BILLING CODE 8011-01-P