Information Collection

Core Principles and Other Requirements for Swap Execution Facilities

IC 195702 under ICR 202412-3038-003 · OMB 3038-0074.

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form Form SEF Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction
Form Form SEF Form SEF Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction
Form Questionnaire SEF Technology Questionnaire Core Principles and Other Requirements for Swap Execution Facilities	Form and Instruction
Form SEF Form SEF Form SEF.pdf https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf	Form and Instruction
Form SEF Form SEF Form SEF.pdf https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf	Form and Instruction
Questionnaire SEF Technology Questionnaire SEF Technology Questionnaire.pdf www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download	Form and Instruction
Questionnaire SEF Technology Questionnaire SEF Technology Questionnaire.pdf www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download	Form and Instruction

IC Title:

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 9 17 CFR 37

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form SEF			https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	Questionnaire			https://www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 20

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	7,829,147	7,823,987	5,160
Annual IC Time Burden (Hours)	15,499	7,759	7,740
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
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.

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