Information Collection

Core Principles and Other Requirements for Swap Execution Facilities

IC 207217 under ICR 201306-3038-006 · OMB 3038-0074.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0074 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form Appendix A Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction
Appendix A Appendix A to Part 37 - Form SEF Form SEF_05_16_13.docx	Form and Instruction
3038 0074 Updated Answers to 8 12 SEF Final rule.docx 3038 0074 SEF final rule updated Supporting statement	IC Document

IC Title:

Core Principles and Other Requirements for Swap Execution Facilities

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 37

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	Appendix A	Appendix A to Part 37 - Form SEF	Form SEF_05_16_13.docx		Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 35

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	35	35
Annual IC Time Burden (Hours)	10,780	10,780
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
3038 0074 SEF final rule updated Supporting statement	3038 0074 Updated Answers to 8 12 SEF Final rule.docx	06/05/2013

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.