Conflict of interest Polocies and Procedures by Swap Dealers and Major Swap Participants

Conflict of interest Policies and Procedures by Swap Dealers and Major Swap Participants

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0079 can be found here:

Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	Conflict of interest Polocies and Procedures by Swap Dealers and Major Swap Participants	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 23

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 125	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion	Change Due to Potential Violation of the PRA
Annual Number of Responses for this IC	10,750	0	10,750
Annual IC Time Burden (Hours)	5,562	-1	5,563
Annual IC Cost Burden (Dollars)	0	-556,250	556,250

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.