Information Collection Request

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

ICR 202305-3235-014 · OMB 3235-0732 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0732 can be found here:

2025-08-07 - Extension without change of a currently approved collection

Forms and Documents

Document	Type	Status	Availability
BCS Supporting Statement 2023 Proposed Partial Revision.pdf	Supporting Statement A	Uploaded 2023-05-24	Repair queued

IC Document Collections

IC ID	Collection	Status
260352	15fk-1 (initial burden for electronic submission)	New
221698	15Fh-3(e), (f) - Know Your Counterparty and Recommendations (New Market Participants)	Unchanged
221697	15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Existing Market Participants)	Unchanged
221696	15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Counterparties)	Unchanged
221695	15Fh-3(b), (c), (d) - Disclosures - SBS Entities Transactions Between SBS Dealer and Non-SBSD Counterparty	Unchanged
221694	15Fh-3(a) - Verification of Status - Certificate Regarding Representations (Counterparties)	Unchanged
221693	15Fh-3(a) - Verification of Status - Notice (SBS Entities)	Unchanged
221692	15Fh-3(a) - Verification of Status - Adherence Letter (SBS Participants)	Unchanged
218480	15Fk-1 - Chief Compliance Officer (ongoing burden)	Modified
218479	15Fh-6 - Political Contributions	Unchanged
218476	15Fh-5 - SBS Entities Acting as Counterparties to Special Entities	Unchanged
218475	15Fh-5 - SBS Entities Acting as Counterparties to Special Entities	Unchanged
218474	15Fh-2(a) and 15Fh-4 - SBS Dealers Acting as Advisors to Special Entities (Unique Pairs)	Unchanged
218473	15Fh-2(a) and 15Fh-4 - SBS Dealers Acting as Advisors to Special Entities	Unchanged
218472	15Fh-3(h) - Supervision	Unchanged
218470	15Fh-3(g) - Fair and Balanced Communications	Unchanged
218469	15Fh-3(e), (f) - Know Your Counterparty and Recommendations (SBS Dealers)	Unchanged
218468	15Fh-3(b), (c), (d) - Disclosures - SBS Entities	Unchanged
218467	15Fh-3(a) - Verification of Status	Unchanged

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0732
Type of Information Collection	Revision of a currently approved collection
Previous ICR Reference No	202201-3235-011
Agency Tracking No	TM-270-779
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31