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Federal forms, ICRs, and supporting documents

Information Collection Request

Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps

ICR 202305-3235-002 · OMB 3235-0777 · Received in OIRA

Forms and Documents
DocumentTypeStatusAvailability
3235-0777 Supporting Statement (2023 Proposed Partial Revision).pdf Supporting Statement A Uploaded 2023-05-05 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
239610 Audit of Documentation Unchanged
239609 Documentation Policies and Procedures (SEC Only) (Initial Burden) Unchanged
239608 Documentation Policies and Procedures (SEC Only) (Ongoing Burden) Unchanged
239607 Documentation Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Unchanged
239606 Documentation Policies and Procedures Dual SEC/CFTC) (Ongoing Burden) Unchanged
239605 Prepare and Negotiate Documentation Unchanged
239604 Compression Policies and Procedures (SEC Only) (Initial Burden) Unchanged
239603 Compression Policies and Procedures (SEC Only) (Ongoing Burden) Unchanged
239500 Compression Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Unchanged
239498 Compression Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden) Unchanged
239497 Compression and Offsets with All Counterparties Modified
239496 Valuation Dispute Notices Modified
239495 Reconciliation Policies and Procedures (SEC Only) (Initial Burden) Unchanged
239494 Reconciliation Policies and Procedures (SEC Only) (Ongoing Burden) Unchanged
239493 Reconciliation Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Unchanged
239491 Reconciliation Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden) Unchanged
239490 Reconciliation with non-SBS Entities Unchanged
239489 Reconciliation with other SBS Entities Unchanged
ICR Details
StatusReceived in OIRA
Agency/SubagencySEC
OMB Control No3235-0777
Type of Information CollectionRevision of a currently approved collection
Previous ICR Reference No202108-3235-011
Agency Tracking NoTM-270-822
Date Submitted to OIRA1969-12-31
Requested Expiration Date1969-12-31