Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity

OMB 3235-0717

Rule 3a71-3 under the Securities Exchange Act of 1934 is designed to give effect to provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act that, among other things, would mitigate the operational difficulties that could arise in connection with investigating the activities of a counterparty to ensure compliance with the rules.

The latest form for Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity expires 2023-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0717.pdf Supplementary Document
3235-0717.pdf Supplementary Document
2022 Rule 3a71-3 Supporting Statement.pdf Supporting Statement A
Representations Regarding U.S.-Person Status - Ongoing
Representation Regarding a Transaction Conducted Through a Foreign Branch - Ongoing
Representations Regarding U.S.-Person Status - Initial
Representation Regarding a Transaction Conducted Through a Foreign Branch - Initial

All Historical Document Collections

202208-3235-018 Approved without change	Extension without change of a currently approved collection	2022-11-01
201906-3235-010 Approved with change	Extension without change of a currently approved collection	2019-08-21
201606-3235-001 Approved without change	New collection (Request for a new OMB Control Number)	2016-06-02
201402-3235-001 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2014-03-10

OMB Details

Representation Regarding a Transaction Conducted Through a Foreign Branch - Initial

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight