Appendix F to Rule 15c3-1, Optional Market and Credit Risk Requirements for OTC derivatives dealers

ICR 200101-3235-010

OMB: 3235-0496

Federal Form Document

Forms and Documents
Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
ICR Details
3235-0496 200101-3235-010
Historical Active 199712-3235-008
SEC
Appendix F to Rule 15c3-1, Optional Market and Credit Risk Requirements for OTC derivatives dealers
Extension without change of a currently approved collection   No
Regular
Approved without change 05/03/2001
Retrieve Notice of Action (NOA) 01/24/2001
  Inventory as of this Action Requested Previously Approved
06/30/2004 06/30/2004 05/31/2001
6 0 6
6,000 0 6,000
383,000 0 288,000

Appendix F provides an alternative net capital requirement and method for determining net capital for a class of dealers active in over-the-counter markets called OTC derivatives dealers. Rule 15c3-1 is intended to ensure that broker-dealers have sufficient capital to protect the assets of customers and to meet their responsibilities to other participants in the financial markets. The rule facilitates the monitoring of the financial condition of securities broker-dealers by the Commission and the various self-regulatory organizations.

None
None


No

1
IC Title Form No. Form Name
Appendix F to Rule 15c3-1, Optional Market and Credit Risk Requirements for OTC derivatives dealers

  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 6 0 0 0 0
Annual Time Burden (Hours) 6,000 6,000 0 0 0 0
Annual Cost Burden (Dollars) 383,000 288,000 0 0 95,000 0
No
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.
01/24/2001


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