Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

ICR 200701-3235-042

OMB: 3235-0498

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
0000-00-00
IC Document Collections
ICR Details
3235-0498 200701-3235-042
Historical Active 200404-3235-009
SEC 270-442
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
Revision of a currently approved collection   No
Regular
Approved without change 08/01/2007
Retrieve Notice of Action (NOA) 04/20/2007
  Inventory as of this Action Requested Previously Approved
08/31/2010 36 Months From Approved 07/31/2007
30 0 30
1,080 0 1,080
0 0 0

Rule 17a-12 sets forth standards for OTC derivatives dealers to report financial and operational information to the Commission. Form X-17A-5IIB is the basic document used by OTC derivatives dealers to report this information.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  72 FR 4737 02/01/2007
72 FR 19985 04/20/2007
No

1
IC Title Form No. Form Name
Rule 17a-12; Reporting 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 30 30 0 0 0 0
Annual Time Burden (Hours) 1,080 1,080 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$16,500
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Rose Wells 202 942-0143

  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.
04/20/2007


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