8011-01P
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 [INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE
FEDERAL REGISTER] 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 PRA_Mailbox@sec.gov.
Dated: June 11, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-13173 Filed: 6/13/2024 8:45 am; Publication Date: 6/14/2024]