Regulations and Forms Pertaining to Financial Integrity of the Market Place

Regulations and Forms Pertaining to Financial Integrity of the Market Place; Margin Requirements for SDs/MSPs

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0024 can be found here:

Documents and Forms

Document Name Document Type
Form 1-FR-FCM Regulations and Forms Pertaining to Financial Integrity of the Market Place Form
1-FR-FCM Statement of Financial Condition Form 1FR_FCM.xls Form
Final Rule.pdf Customer Protection Final Rule IC Document

Information Collection (IC) Details

IC Title:	Regulations and Forms Pertaining to Financial Integrity of the Market Place	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 30 17 CFR 1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	1-FR-FCM	Statement of Financial Condition	Form 1FR_FCM.xls		Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 3,060	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 90 %

	Approved	Previously Approved
Annual Number of Responses for this IC	95,479	95,479
Annual IC Time Burden (Hours)	43,142	43,142
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
Customer Protection Final Rule	Final Rule.pdf	09/15/2014

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