Core Principles and Other Requirements for Swap Execution Facilities

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0074 can be found here:

Documents and Forms

Document Name Document Type
Form Appendix A Core Principles and Other Requirements for Swap Execution Facilities Form and Instruction
Appendix A Appendix A to Part 37 - Form SEF Form SEF_05_16_13.docx Form and Instruction
3038 0074 Updated Answers to 8 12 SEF Final rule.docx 3038 0074 SEF final rule updated Supporting statement IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Core Principles and Other Requirements for Swap Execution Facilities	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Removed

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 37

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Appendix A	Appendix A to Part 37 - Form SEF	Form SEF_05_16_13.docx		Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 35	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 100 %

	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	-35	35
Annual IC Time Burden (Hours)	-10,780	10,780
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
3038 0074 SEF final rule updated Supporting statement	3038 0074 Updated Answers to 8 12 SEF Final rule.docx	06/05/2013

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