Alternative to Figerprinting Requirement For Foreign Natural Persons

Registration of Swap Dealers and Major Swap Participants

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0072 can be found here:

Documents and Forms

Document Name Document Type
(2016) Supporting Statement - 0072.doc Final Supporting Statement IC Document
(2016) Proposed Rule - FRN - 0072.pdf Proposed Rule IC Document
Fingerprinting Final Rule.pdf Final Rule IC Document

Information Collection (IC) Details

IC Title:	Alternative to Figerprinting Requirement For Foreign Natural Persons	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Voluntary

CFR Citation: 17 CFR 3

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: 2	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Previously Approved
Annual Number of Responses for this IC	2	2
Annual IC Time Burden (Hours)	5	5
Annual IC Cost Burden (Dollars)	500	500

Documents for IC

Title	Document	Date Uploaded
Final Supporting Statement	(2016) Supporting Statement - 0072.doc	03/31/2016
Proposed Rule	(2016) Proposed Rule - FRN - 0072.pdf	03/31/2016
Final Rule	Fingerprinting Final Rule.pdf	04/01/2016

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