Rule 18a-4 -- Counterparty Notice

Rule 18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0700 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:	Rule 18a-4 -- Counterparty Notice	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Removed

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.18a-4

Information Collection Instruments:

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

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers	FR Citation: 77 FR 70214

Number of Respondents: 55	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 0 %

	Program Change Due to New Statute	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	29,333	-29,333
Annual IC Time Burden (Hours)	4,889	-4,889
Annual IC Cost Burden (Dollars)	73,333	-73,333

Documents for IC

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No associated records found

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