Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps

OMB 3235-0777

Latest Forms, Documents, and Supporting Material

Document Name
3235-0777 Supporting Statement (2023 Proposed Partial Revision).pdf Supporting Statement A
Audit of Documentation
Documentation Policies and Procedures (SEC Only) (Initial Burden)
Documentation Policies and Procedures (SEC Only) (Ongoing Burden)
Documentation Policies and Procedures (Dual SEC/CFTC) (Initial Burden)
Documentation Policies and Procedures Dual SEC/CFTC) (Ongoing Burden)
Prepare and Negotiate Documentation
Compression Policies and Procedures (SEC Only) (Initial Burden)
Compression Policies and Procedures (SEC Only) (Ongoing Burden)
Compression Policies and Procedures (Dual SEC/CFTC) (Initial Burden)
Compression Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden)
Compression and Offsets with All Counterparties
Valuation Dispute Notices
Reconciliation Policies and Procedures (SEC Only) (Initial Burden)
Reconciliation Policies and Procedures (SEC Only) (Ongoing Burden)
Reconciliation Policies and Procedures (Dual SEC/CFTC) (Initial Burden)
Reconciliation Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden)
Reconciliation with non-SBS Entities
Reconciliation with other SBS Entities