SEC Seeks Comments on Extending Regulation SE Information Collection

The Securities and Exchange Commission announced that it will submit the existing collection of information required by Regulation SE (17 CFR 242.800 et seq.) to the Office of Management and Budget for extension and approval. The agency is soliciting comments on the collection during a 60-Day Collection Notice period.

Regulation SE governs the registration and oversight of security-based swap execution facilities (SBSEFs) and addresses a range of execution issues. Key provisions include Rule 803 for SBSEF registration; Rules 804-810 for rule and product filings; Rules 818-831 implementing the 14 Core Principles for SBSEFs; Rules 832-833 covering cross-border matters; and Rule 834 addressing conflicts of interest under the Dodd-Frank Act. The regulation contains twelve distinct collections of information.

The Commission estimates the total annual hour burden for all respondents at approximately 4,920 hours per year. In its request for input, the SEC asks commenters to address whether the proposed collection is necessary for the Commission's functions, the accuracy of the burden estimate, ways to improve the quality and clarity of the data, and methods to reduce respondent burden, including the use of automated collection techniques.

Comments must be submitted in writing to Austin Gerig, Director/Chief Data Officer, c/o Tanya Ruttenberg, via the provided email address by December 7, 2026. The notice cites OMB Control No. 3235-0793 and is identified as FR Doc 2026-20616, published in the Federal Register on October 8, 2026. Under the Paperwork Reduction Act, a collection may not be conducted without a currently valid OMB control number.