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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0777 · SEC.

OMB 3235-0777

The SEC has adopted rules prescribing standards for security-based swap dealers and major security-based swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of all security-based swaps.

The latest form for Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps expires 2027-11-30 and is listed under ICR 202406-3235-014.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
89 FR 54894 (OMB 3235-0777).pdf Supplementary Document
89 FR 72916 (OMB 3235-0777).pdf Supplementary Document
3235-0777 Supporting Statement Revised.pdf Supplementary Document
3235-0777 Supporting Statement - Rules 15Fi-3 through 15Fi-5 FNL 6.21.pdfSupporting Statement A
Audit of Documentation Information collection
Documentation Policies and Procedures (SEC Only) (Initial Burden) Information collection
Documentation Policies and Procedures (SEC Only) (Ongoing Burden) Information collection
Documentation Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Information collection
Documentation Policies and Procedures Dual SEC/CFTC) (Ongoing Burden) Information collection
Prepare and Negotiate Documentation Information collection
Compression Policies and Procedures (SEC Only) (Initial Burden) Information collection
Compression Policies and Procedures (SEC Only) (Ongoing Burden) Information collection
Compression Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Information collection
Compression Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden) Information collection
Compression and Offsets with All Counterparties Information collection
Valuation Dispute Notices Information collection
Reconciliation Policies and Procedures (SEC Only) (Initial Burden) Information collection
Reconciliation Policies and Procedures (SEC Only) (Ongoing Burden) Information collection
Reconciliation Policies and Procedures (Dual SEC/CFTC) (Initial Burden) Information collection
Reconciliation Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden) Information collection
Reconciliation with non-SBS Entities Information collection
Reconciliation with other SBS Entities Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202406-3235-014 Extension without change of a currently approved collection 2024-09-06
202305-3235-002 Revision of a currently approved collection 2023-05-06 Comment filed on proposed rule and continue
202108-3235-011 New collection (Request for a new OMB Control Number) 2021-08-18 Approved with change
202001-3235-022 New collection (Request for a new OMB Control Number) 2020-02-13 Comment filed on proposed rule

OMB Details

Reconciliation with other SBS Entities

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight