Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Core Principles & Other Requirements for DCMs

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3038-0052 can be found here:

Documents and Forms

Document Name Document Type
(2015) Regulation AT AMENDMENT TO COLLECTION PRA Supporting Statement -0052.docx Renewal of Supporting Statement IC Document

Information Collection (IC) Details

IC Title:	Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Unchanged

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR 38.401(a) 17 CFR 38.401(c)

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: 15	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	Previously Approved
Annual Number of Responses for this IC	15	15
Annual IC Time Burden (Hours)	750	750
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
Renewal of Supporting Statement	(2015) Regulation AT AMENDMENT TO COLLECTION PRA Supporting Statement -0052.docx	12/01/2015

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