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15Fk-1 - Chief Compliance Officer (ongoing burden)
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
OMB: 3235-0732
IC ID: 218480
OMB.report
SEC
OMB 3235-0732
ICR 202305-3235-014
IC 218480
( )
Documents and Forms
Document Name
Document Type
no available documents/forms check other ICs listed under this ICR
Information Collection (IC) Details
View Information Collection (IC)
IC Title:
15Fk-1 - Chief Compliance Officer (ongoing burden)
Agency IC Tracking Number:
Is this a Common Form?
No
IC Status:
Modified
Obligation to Respond:
Mandatory
CFR Citation:
17 CFR 240.15Fk-1
Information Collection Instruments:
Document Type
Form No.
Form Name
Instrument File
URL
Available Electronically?
Can Be Submitted Electronically?
Electronic Capability
Federal Enterprise Architecture Business Reference Module
Line of Business:
Economic Development
Subfunction:
Financial Sector Oversight
Privacy Act System of Records
Title:
FR Citation:
Number of Respondents:
50
Number of Respondents for Small Entity:
0
Affected Public:
Private Sector
Private Sector:
Businesses or other for-profits
Percentage of Respondents Reporting Electronically:
100 %
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses for this IC
50
0
6
0
0
44
Annual IC Time Burden (Hours)
13,700
0
1,688
0
0
12,012
Annual IC Cost Burden (Dollars)
380,000
0
63,200
0
0
316,800
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.