Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
20260304_3235-0713_2026-04225_91 FR 10661_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-03-04	Available
20251216_3235-0713_2025-22950_90 FR 58356_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-12-16	Available
3235-0713 Supporting Statement (2026 Extension).pdf	Supporting Statement A	Uploaded 2025-12-10	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
238283	IC4 - Policies and Procedures - Ongoing Burden		Modified
238282	IC2 - Ongoing Support of OMSs		Modified
210892	IC3 - Policies and Procedures - Initial Burden		Unchanged
210891	IC1 - Initial Modification of OMSs		Modified

ICR Details

OMB Control No: 3235-0713	ICR Reference No: 202512-3235-014
Status: Received in OIRA	Previous ICR Reference No: 202210-3235-019
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 03/04/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2026
Responses	108	98
Time Burden (Hours)	25,228	22,848
Cost Burden (Dollars)	0	0

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Abstract: Rule 15Fi-2, 17 CFR 240.15Fi-2, prescribes documentation standards for the timely and accurate acknowledgment and verification of SBS transactions by SBS Entities. The rule contains seven paragraphs: (a) the trade acknowledgment obligations of specific SBS Entities; (b) the prescribed time frames under which a trade acknowledgment must be provided; (c) the form and content requirements of the trade acknowledgment; (d) SBS Entities’ verification obligations; (e) a limited exception from the requirement to provide a clearing agency a trade acknowledgment in a clearing transaction; (f) a limited exception from the requirement to provide a trade acknowledgment for certain transactions executed on a security-based swap execution facility or a national securities exchange or accepted for clearing by a clearing agency; and (g) a limited exemption from the requirements of Exchange Act Rule 10b-10 for a broker-dealer acting as principal for its own account in a security-based swap transaction.

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Authorizing Statute(s): US Code: 15 USC 78o-8(i) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: US Code: 15 USC 78o-8(i) Name of Law: Securities Exchange Act of 1934

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 58356	12/16/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 10661	03/04/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
IC1 - Initial Modification of OMSs
IC2 - Ongoing Support of OMSs
IC3 - Policies and Procedures - Initial Burden
IC4 - Policies and Procedures - Ongoing Burden

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ICR Summary of Burden

table that charts list of burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	108	98	0	10	0	0
Annual Time Burden (Hours)	25,228	22,848	0	2,380	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated burden has increased due to an increase in the estimated number of respondents to some of the burdens. The burdens are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/04/2026

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