Information Collection

18a-1(g) Risk Management Control System

IC 206755 under ICR 201907-3235-015 · OMB 3235-0701.

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Information Collection (IC) Details

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IC Title:	18a-1(g) Risk Management Control System	Agency IC Tracking Number:	TM-270-649

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.18a-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers	FR Citation: 77 FR 70214

Number of Respondents: 6	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Program Change Due to New Statute	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	6	9	-3
Annual IC Time Burden (Hours)	5,500	8,250	-2,750
Annual IC Cost Burden (Dollars)	155,000	232,500	-77,500

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