OMB control number
Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity
OMB 3235-0717 · SEC.
OMB 3235-0717
Rule 3a71-3 under the Securities Exchange Act of 1934, 17 CFR 240.3a71-3, 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 2029-06-30 and is listed under ICR 202512-3235-003.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20260304_3235-0717_2026-04227_91 FR 10661_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20251216_3235-0717_2025-22944_90 FR 58334_60-Day Collection Notice.pdf | Supplementary Document |
| 3235-0717 Supporting Statement (2026 Extension).pdf | Supporting Statement A |
 Representations Regarding U.S.-Person Status - Ongoing |
Information collection |
| Representation Regarding a Transaction Conducted Through a Foreign Branch - Ongoing |
Information collection |
| Representations Regarding U.S.-Person Status - Initial |
Information collection |
| Representation Regarding a Transaction Conducted Through a Foreign Branch - Initial |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202512-3235-003 | Extension without change of a currently approved collection | 2026-03-04 | ||
| 202208-3235-018 | Extension without change of a currently approved collection | 2022-11-01 | Approved without change | |
| 201906-3235-010 | Extension without change of a currently approved collection | 2019-08-21 | Approved with change | |
| 201606-3235-001 | New collection (Request for a new OMB Control Number) | 2016-06-02 | Approved without change | |
| 201402-3235-001 | New collection (Request for a new OMB Control Number) | 2014-03-10 | Comment filed on proposed rule |
OMB Details
Representation Regarding a Transaction Conducted Through a Foreign Branch - Initial
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight