Reporting, Recordkeeping, and Disclosure Requirements Associated with Proprietary Trading and Certain Interests in and Relationships with Covered Funds

ICR 202210-1557-001

OMB: 1557-0309

Federal Form Document

Forms and Documents

Document Name	Status
1557-0309 Volcker Supporting Statement 8-18-22 (cite added).docx Supporting Statement A	2023-02-24

IC Document Collections

IC ID	Document Title	Status
240705	Section 10(c)(18)(ii)(C)(1) Recordkeeping - Ongoing Burden	Modified
240704	Section 4(c)(3)(i) Recordkeeping - Ongoing	Unchanged
240703	Section 3(d)(3) Recordkeeping - Ongoing	Modified
240702	Section 10(c)(18)(ii)(C)(1) Recordkeeping - Initial Setup	Modified
240701	Section 4(c)(3)(i) Recordkeeping - Initial Setup	Unchanged
240700	Section 3(d)(3) Recordkeeping - Initial Setup	Unchanged
240699	Section 20(i) Reporting - Ongoing	Unchanged
240698	Section 20(i) Reporting - Initial Setup	Unchanged
240697	Section 4(c)(3)(i) Reporting - Ongoing	Unchanged
240696	Section 4(c)(3)(i) Reporting - Initial Set up	Unchanged
231541	Section 44.20(d) - $20 billion - Appendix Reporting Requirements - Ongoing Burden	Unchanged
231540	Section 44.20(d) - $20 billion - Appendix Reporting Requirements - Initial Set-up	Unchanged
231539	Section 44.20(c) - CEO Attestation - Ongoing Burden	Unchanged
231538	Section 44.20(c) - CEO Attestation - Initial Set-up	Unchanged
231537	Section 44.20(b) - Compliance Program - Ongoing Burden	Unchanged
231536	Section 44.20(b) - Compliance Program - Initial Set-up	Unchanged
231533	Section 44.20(d) - Appendix Reporting - $20 Billion - Ongoing Burden	Unchanged
231532	Section 44.20(d) - Appendix Reporting - $20 Billion - Initial Set-up	Unchanged
209660	Section 11(a)(8)(i) - Covered Fund Disclosures - Ongoing Burden	Unchanged
209659	Section 11(a)(8)(i) - Covered Fund Disclosures - Initial Set-up	Unchanged
209658	Section 20(f)(2) - Compliance Program for Entities with Modest Activities -Ongoing Burden	Unchanged
209657	Section 20(f)(2) - Compliance Program for Entities with Modest Activities - Initial Set-up	Unchanged
199647	Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Ongoing Burden	Unchanged
199646	Section 20(f)(1) - Compliance Program for Entities with No Covered Activities - Initial Set-up	Unchanged
199645	Section 20(e) - Additional Documentation for Covered Funds - Ongoing Burden	Unchanged
199643	Section 20(e) - Additional Documentation for Covered Funds - Initial Set-up	Unchanged
199642	Section 5(c) - Documentation of Purchases and Sales - Ongoing Burden	Unchanged
199641	Section 5(c) - Documentation of Purchases and Sales - Initial Set-up	Unchanged
199640	Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Ongoing Burden	Unchanged
199639	Section 4(b)(3)(i)(A) - Trading Desk Documentation of Client, Customer or Counterparty - Initial Set-up	Unchanged
199636	Section 11(a)(2) - Documentation of Advisory Services - Ongoing Burden	Unchanged
199635	Section 11(a)(2) - Documentation of Advisory Services - Initial Set-up	Unchanged
199634	Section 12(e) - Application for Extension of Time to Meet Requirements on Ownership Limitations - Ongoing Burden	Unchanged
199633	Section 12(e) - Application for Extension of Time Meet Requirements on Ownership Limitiations - Initial Set-up	Unchanged