Information Collection

Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

IC 35256 under ICR 201509-3235-001 · OMB 3235-0498.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0498 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.	Form and Instruction
SEC 2430 Form X-17A-5 formx-17a-5_2b.pdf www.sec.gov/about/forms/formx-17a-5_2b.pdf	Form and Instruction

IC Title:

Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

Agency IC Tracking Number:

270-442

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17a-12

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	SEC 2430	Form X-17A-5	formx-17a-5_2b.pdf	http://www.sec.gov/about/forms/formx-17a-5_2b.pdf	No		Paper Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 5

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	Previously Approved
Annual Number of Responses for this IC	25	25
Annual IC Time Burden (Hours)	900	900
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
No associated records found

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