Appendix F provides an alternative net capital requirement and method for determining net capital for a class of dealers active in over-the-counter markets called OTC derivatives dealers. Rule 15c3-1 is intended to ensure that broker-dealers have sufficient capital to protect the assets of customers and to meet their responsibilities to other participants in the financial markets. The rule facilitates the monitoring of the financial condition of securities broker-dealers by the Commission and the various self-regulatory organizations.
The latest form for Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers expires 2022-07-31 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
Approved without change |
Extension without change of a currently approved collection | 2022-04-13 | |
Approved without change |
Extension without change of a currently approved collection | 2019-05-21 | |
Approved without change |
Extension without change of a currently approved collection | 2016-03-10 | |
Approved without change |
Extension without change of a currently approved collection | 2013-02-26 | |
Approved without change |
Extension without change of a currently approved collection | 2010-03-25 | |
Approved with change |
Revision of a currently approved collection | 2007-05-07 | |
Approved without change |
Extension without change of a currently approved collection | 2004-04-20 | |
Approved without change |
Extension without change of a currently approved collection | 2001-01-24 | |
Approved without change |
New collection (Request for a new OMB Control Number) | 1997-12-29 |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight