Rule 15Fi-1 Trade Acknowledgment and Verification of Security-Based Swap Transactions

ICR 201403-3235-002

OMB: 3235-0714

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-03-05
IC Document Collections
IC ID
Document
Title
Status
210605
New
210604
New
ICR Details
3235-0714 201403-3235-002
Historical Inactive
SEC TM-270-633
Rule 15Fi-1 Trade Acknowledgment and Verification of Security-Based Swap Transactions
New collection (Request for a new OMB Control Number)   No
Regular
Comment filed on proposed rule 05/06/2014
Retrieve Notice of Action (NOA) 03/05/2014
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
36 Months From Approved
0 0 0
0 0 0
0 0 0

Proposed rule 15Fi-1 would adopt documentation standards for the timely and accurate acknowledgment and verification of SBS transactions by SBS Entities. The proposed rule contains six paragraphs: (a) definitions of relevant terms; (b) the trade acknowledgment obligations of specific SBS Entities; (c) the prescribed time frames under which a trade acknowledgment must be sent; (d) the form and content requirements of the trade acknowledgment; (e) an SBS Entities' verification obligations; and (f) a limited exemption for brokers from the requirements of Exchange Act Rule 10b-10.

US Code: 15 USC 78o-8(i) Name of Law: Securities Exchange Act of 1934
  
US Code: 15 USC 78o-8(i) Name of Law: Securities Exchange Act of 1934

3235-AK91 Proposed rulemaking 76 FR 3859 01/21/2011

No

2
IC Title Form No. Form Name
Policies and Procedures
Trade Acknowledgement Requirement

No
No
This is a new information collection.

No
No
No
No
No
Uncollected
Andrew Bernstein 202 551-5565

  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.
03/05/2014


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