Information Collection Request

Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States

ICR 202211-3235-008 · OMB 3235-0771 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0771 can be found here:

Forms and Documents

Document	Type	Status	Availability
3235-0771.pdf	Supplementary Document	Uploaded 2023-01-24	Repair queued
3235-0771.pdf	Supplementary Document	Uploaded 2023-01-24	Repair queued
DGL REVISED 2023 Rule 3a71-3(d) Supporting Statement.pdf	Supporting Statement A	Uploaded 2022-11-10	Repair queued

IC Document Collections

IC ID	Collection	Status
239077	Risk Management and Control Systems-- maintenance and review	Modified
239076	Risk Management and Control Systems-- maintenance and review	Modified
239075	Risk Management Control systems-- policies and procedures	Unchanged
239074	Inter-dealer Compliance Documentation-- receipt and maintenance	Unchanged
239073	Inter-dealer Compliance Documentation-- identification and conveyance	Unchanged
239072	Inter-dealer Compliance Documentation-- identification and conveyance	Unchanged
239071	Notice of ANE Activity	Unchanged
237736	Listed jurisdiction - application	Modified
237735	Consent to service - drafting/transfer	Unchanged
237734	Trading relationship documentation - receipt and maintenance	Unchanged
237733	Trading relationship documentation - identification and conveyance	Unchanged
237732	Trading relationship documentation - policies and procedures	Unchanged
237730	Trade acknowledgement - policies and procedures	Unchanged
237728	Trade acknowledgment - requirement	Unchanged
237727	Fair and balanced communications - legal costs	Modified
237726	Fair and balanced communications - statement drafting	Modified
237725	Fair and balanced communications - internal review	Unchanged
237724	Suitability - other counterparties	Unchanged
237723	Suitability - swap market counterparties	Unchanged
237722	Transaction disclosure - system development/maintenance	Unchanged
237721	Transaction disclosures - framework development	Unchanged
237720	Title VII Disclosure Policies/procedures	Modified
237719	Title VII Disclosure Requirement (Group C)	Unchanged
237718	Title VII Disclosure Requirement (Group B)	Unchanged
237717	Title VII Disclosure Requirement (Group A)	Unchanged

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0771
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	201912-3235-011
Agency Tracking No	TM-270-817
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31