OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Rule 15c3-4; Internal Risk Management Control Systems.

OMB 3235-0497 · SEC.

OMB 3235-0497

Rule 15c3-4 requires OTC derivatives dealers to establish and document a risk management control system. In addition, the Rule establishes basic principles and minimum standards governing the creation, execution, and review of a firm's risk management control system. These principles and standards are designed to ensure the integrity of the risk measurement, monitoring, and management process.

The latest form for Rule 15c3-4; Internal Risk Management Control Systems. expires 2028-03-31 and is listed under ICR 202409-3235-023.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
2024 12 20_89 FR 104252_3235-0497_30-Day Submission Notice.pdf.pdfSupplementary Document
2024 12 20_89 FR 104252_3235-0497_30-Day Submission Notice.pdf.pdf Supplementary Document
89 FR 83059 (OMB 3235–0497).pdfSupplementary Document
89 FR 83059 (OMB 3235–0497).pdf Supplementary Document
Supporting Statement_Rule 15c3-4 2025 FINAL DGL REVISED.pdfSupporting Statement A
Supporting Statement_Rule 15c3-4 2025 FINAL DGL REVISED.pdfSupporting Statement A
Rule 15c3-4; Internal Risk Management Control Systems - existing respondents Information collection
15c3-4 - New respondents maintaining system Information collection
15c3-4 - New respondents establishing system Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202409-3235-023 Extension without change of a currently approved collection 2024-12-20
202201-3235-002 Extension without change of a currently approved collection 2022-03-23 Approved without change
201810-3235-022 Extension without change of a currently approved collection 2019-02-14 Approved without change
201510-3235-011 Extension without change of a currently approved collection 2016-01-06 Approved without change
201212-3235-009 Extension without change of a currently approved collection 2013-03-08 Approved without change
200911-3235-001 Extension without change of a currently approved collection 2010-01-13 Approved without change
200610-3235-004 Extension without change of a currently approved collection 2006-10-12 Approved without change
200509-3235-009 No material or nonsubstantive change to a currently approved collection 2005-09-20 Approved without change
200405-3235-013 No material or nonsubstantive change to a currently approved collection 2004-05-17 Approved without change
200310-3235-031 Revision of a currently approved collection 2003-10-30 Approved without change
200101-3235-014 Extension without change of a currently approved collection 2001-01-30 Approved without change
199712-3235-009 New collection (Request for a new OMB Control Number) 1997-12-29 Approved without change

OMB Details

Rule 15c3-4; Internal Risk Management Control Systems - existing respondents

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight