OMB control number
Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers
OMB 3235-0496 · SEC.
OMB 3235-0496
Appendix F provides an alternative net capital requirement and method for determining net capital for a class of dealers active in over-the-counter markets called OTC derivatives dealers. Rule 15c3-1 is intended to ensure that broker-dealers have sufficient capital to protect the assets of customers and to meet their responsibilities to other participants in the financial markets. The rule facilitates the monitoring of the financial condition of securities broker-dealers by the Commission and the various self-regulatory organizations.
The latest form for Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers expires 2028-08-31 and is listed under ICR 202501-3235-030.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 2025 04 10_90 FR 15380_3235-0496_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| Supporting Statement_Rule 15c3-1f (Appendix F) 2025.pdf | Supporting Statement A |
| 2025 02 04_90 FR 8960_3235-0496_60-Day Collection Notice.pdf | Supplementary Document |
 Rule 15c3-1f (Appendix F to Rule 15c3-1), Existing Dealer Maintenance |
Information collection |
| Rule 15c3-1f (Appendix F to Rule 15c3-1) New Registrant Maintenance |
Information collection |
| Rule 15c3-1f (Appendix F to Rule 15c3-1) New Registrant Start-up |
Information collection |
All Historical Document Collections
OMB Details
Rule 15c3-1f (Appendix F to Rule 15c3-1), Existing Dealer Maintenance
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