Rule and product filing processes including cover sheet (Rules 804-807) modelled on CFTC Part 40

Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0793 can be found here:

Documents and Forms

Document Name Document Type
Form 1 Rule and product filing processes including cover sheet (Rules 804-807) modelled on CFTC Part 40 Form and Instruction
1 Submission Cover Sheet, for Rule and Product Submissions Proposed submission cover sheet for rule and product submissions.pdf Form and Instruction
1 Submission Cover Sheet, for Rule and Product Submissions Proposed submission cover sheet for rule and product submissions.pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Rule and product filing processes including cover sheet (Rules 804-807) modelled on CFTC Part 40	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 242.804-807 17 CFR 242.2002

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	1	Submission Cover Sheet, for Rule and Product Submissions	Proposed submission cover sheet for rule and product submissions.pdf		Yes	Yes	Fillable Fileable

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: 100 %

	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	5	5
Annual IC Time Burden (Hours)	300	300
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

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.