OMB control number
Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions
OMB 3235-0713 · SEC.
OMB 3235-0713
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.
The latest form for Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions expires 2029-06-30 and is listed under ICR 202512-3235-014.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20260304_3235-0713_2026-04225_91 FR 10661_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20251216_3235-0713_2025-22950_90 FR 58356_60-Day Collection Notice.pdf | Supplementary Document |
| 3235-0713 Supporting Statement (2026 Extension).pdf | Supporting Statement A |
 IC4 - Policies and Procedures - Ongoing Burden |
Information collection |
| IC2 - Ongoing Support of OMSs |
Information collection |
| IC3 - Policies and Procedures - Initial Burden |
Information collection |
| IC1 - Initial Modification of OMSs |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202512-3235-014 | Extension without change of a currently approved collection | 2026-03-04 | ||
| 202210-3235-019 | Extension without change of a currently approved collection | 2023-01-27 | Approved without change | |
| 201909-3235-010 | Extension without change of a currently approved collection | 2020-01-16 | Approved without change | |
| 201606-3235-010 | New collection (Request for a new OMB Control Number) | 2016-06-23 | Approved without change | |
| 201403-3235-014 | New collection (Request for a new OMB Control Number) | 2014-03-24 | Comment filed on proposed rule |
OMB Details
IC1 - Initial Modification of OMSs
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight