OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

OMB 3235-0732 · SEC.

OMB 3235-0732

As required by Title VII of the Dodd-Frank Act, Section 15F(h) of the Exchange Act established business conduct standards for security-based swap ("SBS") dealers and major security-based swap participants in their dealings with counterparties, including special entities. Exchange Act Rules 15Fh-1 through 15Fh-6 and 15Fk-1 implemented the business conduct standards requirements for SBS dealers that we believe further the principles that underlie the Dodd-Frank Act, and established regulations for the chief compliance officer functions within an SBS dealer or major SBS participant.

The latest form for Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants expires 2028-11-30 and is listed under ICR 202505-3235-012.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20250806_3235-0732_2025-14852_90 FR 37907_30-Day Submission Notice.pdf.pdfSupplementary Document
20250806_3235-0732_2025-14852_90 FR 37907_30-Day Submission Notice.pdf.pdf Supplementary Document
2025 05 28_90 FR 22551_3235-0732_60-Day Collection Notice.pdfSupplementary Document
2025 Rules 15Fh-1 through 15Fh-6 and 15Fk-1 Supporting Statement.pdfSupporting Statement A
15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Market Participants) Information collection
15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Special Entities) Information collection
15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Counterparties) Information collection
15Fh-3(b), (c), (d) - Disclosures - SBS Entities Transactions Between SBS Dealer and Non-SBSD Counterparty Information collection
15Fh-3(a) - Verification of Status - Certificate Regarding Representations (Counterparties) Information collection
15Fh-3(a) - Verification of Status - Notice (SBS Entities) Information collection
15Fh-3(a) - Verification of Status - Adherence Letter (SBS Market Participants) Information collection
15Fk-1 - Chief Compliance Officer Information collection
15Fh-6 - Political Contributions Information collection
15Fh-5 - SBS Entities Acting as Counterparties to Special Entities Information collection
15Fh-5 - SBS Entities Acting as Counterparties to Special Entities Information collection
15Fh-2(a) and 15Fh-4 - SBS Dealers Acting as Advisors to Special Entities (Unique Pairs) Information collection
15Fh-2(a) and 15Fh-4 - SBS Dealers Acting as Advisors to Special Entities Information collection
15Fh-3(h) - Supervision Information collection
15Fh-3(g) - Fair and Balanced Communications Information collection
15Fh-3(e), (f) - Know Your Counterparty and Recommendations (SBS Dealers) Information collection
15Fh-3(b), (c), (d) - Disclosures - SBS Entities Information collection
15Fh-3(a) - Verification of Status - Adherence Letter (SBS Entities) Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202505-3235-012 Extension without change of a currently approved collection 2025-08-07
202305-3235-014 Revision of a currently approved collection 2023-05-25 Comment filed on proposed rule and continue
202201-3235-011 Extension without change of a currently approved collection 2022-07-19 Approved without change
201812-3235-004 Extension without change of a currently approved collection 2019-07-24 Approved without change
201605-3235-009 New collection (Request for a new OMB Control Number) 2016-06-16 Approved without change
201510-3235-002 New collection (Request for a new OMB Control Number) 2015-10-02 Comment filed on proposed rule

OMB Details

15Fh-3(a) - Verification of Status - Adherence Letter (SBS Entities)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight