OMB control number

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 · SEC.

OMB 3235-0771

Request for an extension of OMB approval for the collection of information in Exchange Act rule 3a71-3(d), 17 CFR 240.3a71-3(d), providing 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 2029-04-30 and is listed under ICR 202511-3235-007.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
20260206_3235-0771_2026-02409_91 FR 5547_30-Day Submission Notice.pdf.pdf	Supplementary Document
20260206_3235-0771_2026-02409_91 FR 5547_30-Day Submission Notice.pdf.pdf	Supplementary Document
20251202_3235-0771_2025-21769_90 FR 55326_60-Day Collection Notice.pdf	Supplementary Document
20251202_3235-0771_2025-21769_90 FR 55326_60-Day Collection Notice.pdf	Supplementary Document
Supporting Statement 3235-0771 (2026 Extension).pdf	Supporting Statement A
Supporting Statement 3235-0771 (2026 Extension).pdf	Supporting Statement A
Risk Management and Control Systems-- information technology	Information collection
Risk Management and Control Systems-- maintenance and review	Information collection
Risk Management Control systems-- policies and procedures	Information collection
Inter-dealer Compliance Documentation-- receipt and maintenance	Information collection
Inter-dealer Compliance Documentation-- identification and conveyance	Information collection
Inter-dealer Compliance Documentation-- identification and conveyance	Information collection
Notice of ANE Activity	Information collection
Listed jurisdiction - application	Information collection
Consent to service - drafting/transfer	Information collection
Trading relationship documentation - receipt and maintenance	Information collection
Trading relationship documentation - identification and conveyance	Information collection
Trading relationship documentation - policies and procedures	Information collection
Trade acknowledgement - policies and procedures	Information collection
Trade acknowledgment - requirement	Information collection
Fair and balanced communications - legal costs	Information collection
Fair and balanced communications - statement drafting	Information collection
Fair and balanced communications - internal review	Information collection
Suitability - other counterparties	Information collection
Suitability - swap market counterparties	Information collection
Transaction disclosure - system development/maintenance	Information collection
Transaction disclosures - framework development	Information collection
Title VII Disclosure Policies/procedures	Information collection
Title VII Disclosure Requirement (Group C)	Information collection
Title VII Disclosure Requirement (Group B)	Information collection
Title VII Disclosure Requirement (Group A)	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202511-3235-007	Revision of a currently approved collection	2026-02-06
202305-3235-001	Revision of a currently approved collection	2023-05-06	Comment filed on proposed rule and continue
202211-3235-008	Extension without change of a currently approved collection	2023-01-24	Approved without change
201912-3235-011	New collection (Request for a new OMB Control Number)	2020-02-04	Approved without change
201909-3235-004	New collection (Request for a new OMB Control Number)	2019-09-11	Comment filed on proposed rule

OMB Details

Title VII Disclosure Requirement (Group A)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight