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

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 2022-05-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
2024 12 20_89 FR 104252_3235-0497_30-Day Submission Notice.pdf.pdf Supplementary Document
89 FR 83059 (OMB 3235–0497).pdf Supplementary Document
Supporting Statement_Rule 15c3-4 2025 FINAL DGL REVISED.pdf Supporting Statement A
Rule 15c3-4; Internal Risk Management Control Systems - existing respondents
15c3-4 - New respondents maintaining system
15c3-4 - New respondents establishing system

All Historical Document Collections

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

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight