Schedule 10B

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large SBS Posit

Documents and Forms

Document Name Document Type
Form 10B Schedule 10B Form and Instruction
10B Schedule 10B-- Information to be included in statements Proposed Schedule 10B.pdf Form and Instruction
10B Schedule 10B-- Information to be included in statements Proposed Schedule 10B.pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Schedule 10B	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.10B-101

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	10B	Schedule 10B-- Information to be included in statements filed pursuant to 240.10B-1(a) and amendments thereof filed pursuant to 240.10B-1(c)	Proposed Schedule 10B.pdf		Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 800	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	52,000	52,000
Annual IC Time Burden (Hours)	754,000	754,000
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.