Information Collection

Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices

IC 203191 under ICR 201207-3235-002 · OMB 3235-0045.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0045 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form 19b-4 Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices	Form and Instruction
19b-4 Form 19b-4 Form 19b-4-RC.pdf www.sec.gov/about/forms/form19b-4.pdf	Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Drafting and Implementing Modifications to Existing Internal Policies and Procedures for Using EFFS for Security-Based Swap Submissions and/or Advance Notices

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 19b-4(a) 17 CFR 19b-4(n)(1) 17 CFR 19b-(o)(1) (To search for a specific CFR, visit the Code of Federal Regulations.)

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	19b-4	Form 19b-4	Form 19b-4-RC.pdf	http://www.sec.gov/about/forms/form19b-4.pdf	Yes	Yes	Fillable Fileable Signable

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 4

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Approved	Program Change Due to New Statute
Annual Number of Responses for this IC	4	4
Annual IC Time Burden (Hours)	40	40
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.