Enhancing Protections Afforded Customers and Customer Funds Held by FCMs and DCOs

Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0091 can be found here:

Documents and Forms

Document Name Document Type
FRN-Proposed Rule (11-14-12).pdf Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organi IC Document
SUPPORTING STATEMENT 0091 - (BEL) AMENDED 02 05 13.docx Supporting Statement Proposal Amended IC Document
SUPPORTING STATEMENT 0091.docx Supporting Statement IC Document
FINAL 0091 customer protection supporting statement (EW clean).docx 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 FCMs and DCOs	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 22.17 and 22.2(g)

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: 100	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	26,100	26,100
Annual IC Time Burden (Hours)	26,100	26,100
Annual IC Cost Burden (Dollars)	624,788	624,788

Documents for IC

Title	Document	Date Uploaded
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations NPRM	FRN-Proposed Rule (11-14-12).pdf	10/30/2013
Supporting Statement Proposal Amended	SUPPORTING STATEMENT 0091 - (BEL) AMENDED 02 05 13.docx	10/30/2013
Supporting Statement	SUPPORTING STATEMENT 0091.docx	10/30/2013
Supporting Statement Final Rule	FINAL 0091 customer protection supporting statement (EW clean).docx	10/30/2013
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations	Final Rule.pdf	11/14/2013

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