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Federal forms, ICRs, and supporting documents

OMB control number

Margin and Capital Requirements for Covered Swap Entities

OMB 1557-0251 · TREAS/OCC.

OMB 1557-0251

Sections 731 and 764 of the Dodd-Frank Wall Street Reform and Consumer Protection Act required the OCC to implement rules for swap entities under its jurisdiction imposing capital requirements and initial and variation margin requirements on all non-cleared swaps. This ICR is being submitted to revise the associated information collection to remove certain provisions determined to be obsolete or not constituting collections of information under the Paperwork Reduction Act.

The latest form for Margin and Capital Requirements for Covered Swap Entities expires 2026-08-31 and is listed under ICR 202306-1557-002.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
1557-0251 Swaps Supporting Statement (6.16.23 clean).docxSupporting Statement A
Counterparty Disclosure Information collection
Sections 45.1(d)(1) and (2) Meeting criteria for exemption Information collection
Section 45.8(f)(3) Initial Margin Model Reporting Information collection
Section 45.7(c) Custody Agreement Information collection
Section 45.9(e) Requests for Determinations Information collection
Section 45.8(h) Escalation Procedures Information collection
Section 45.8(e) Periodic Review; Section 45.8(f) Control, Oversight, and Validation Mechanisms Information collection
Sections 45.8(c) and (d) Initial Margin Model Information collection
Section 45.5(c)(2) Required Margin Information collection
Section 45.2 - Definition of "Eligible Master Netting Agreement"; Section 45.8(g) Documentation; Section 45.10 Documentation of Margin Matters Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202306-1557-002 Revision of a currently approved collection 2023-06-28 Approved without change
202006-1557-002 Revision of a currently approved collection 2020-07-01 Approved without change
201909-1557-001 Revision of a currently approved collection 2019-11-07 Comment filed on proposed rule and continue
201906-1557-001 Extension without change of a currently approved collection 2019-07-09 Approved without change
201903-1557-002 Revision of a currently approved collection 2019-03-12 Approved without change
201811-1557-003 Extension without change of a currently approved collection 2019-02-05 Approved without change
201510-1557-001 New collection (Request for a new OMB Control Number) 2015-11-30 Approved without change
201407-1557-001 New collection (Request for a new OMB Control Number) 2014-09-24 Comment filed on proposed rule
201104-1557-001 New collection (Request for a new OMB Control Number) 2011-05-11 Comment filed on proposed rule

OMB Details

Section 45.2 - Definition of "Eligible Master Netting Agreement"; Section 45.8(g) Documentation; Section 45.10 Documentation of Margin Matters

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight