Internal Risk Management Control Standards for OTC Derivatives Dealers -- Rule 15c3-4

ICR 199712-3235-009

OMB: 3235-0497

Federal Form Document

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Status
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ICR Details
3235-0497 199712-3235-009
Historical Active
SEC
Internal Risk Management Control Standards for OTC Derivatives Dealers -- Rule 15c3-4
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 03/14/1998
Retrieve Notice of Action (NOA) 12/29/1997
  Inventory as of this Action Requested Previously Approved
03/31/2001 03/31/2001
6 0 0
1,200 0 0
576,000 0 0

Rule 15c3-4 requires OTC derivatives dealers to establish and document a risk management control system. In addition, the rule establishes basic principles and minimum standards governing the creation, execution, and review of a firm's risk management control system. These principles and standards are designed to ensure the integrity of the risk measurement, monitoring, and management process.

None
None


No

1
IC Title Form No. Form Name
Internal Risk Management Control Standards for OTC Derivatives Dealers -- Rule 15c3-4

  Total Approved 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 6 0 0 6 0 0
Annual Time Burden (Hours) 1,200 0 0 1,200 0 0
Annual Cost Burden (Dollars) 576,000 0 0 576,000 0 0
Yes
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
12/29/1997


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