Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Core Principles & Other Requirements for DCMs

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0052 can be found here:

Documents and Forms

Document Name Document Type
FINAL 0052 customer protection supporting Statement (EW clean).doc Supporting Statement Final Rule IC Document
Final Rule.pdf Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organi IC Document

Information Collection (IC) Details

IC Title:	Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR 22 17 CFR 3 17 CFR 38 17 CFR 1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 15	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	15	15
Annual IC Time Burden (Hours)	750	750
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
Supporting Statement Final Rule	FINAL 0052 customer protection supporting Statement (EW clean).doc	10/30/2013
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations Final Rule	Final Rule.pdf	11/14/2013

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