Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States
OMB 3235-0771
OMB 3235-0771
The Securities and Exchange Commission adopted new paragraph (d) to Exchange Act rule 3a71-3, to provide a conditional exception from the security-based swap dealer de minimis counting requirement for certain transactions arranged, negotiated or executed by personnel in the United States.
The latest form for Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States expires 2023-04-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supporting Statement A |
3235-0771 2023 Proposed Partial Revision.pdf
Withdrawal of notice of ANE activity All Historical Document Collections
|
Comment filed on proposed rule and continue |
Revision of a currently approved collection | 2023-05-06 | |
|
Approved without change |
Extension without change of a currently approved collection | 2023-01-24 | |
|
Approved without change |
New collection (Request for a new OMB Control Number) | 2020-02-04 | |
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2019-09-11 |
OMB Details
Title VII Disclosure Requirement (Group A)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
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