Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps

ICR 202305-3235-002

OMB: 3235-0777

Federal Form Document

Forms and Documents

Document Name	Status
3235-0777 Supporting Statement (2023 Proposed Partial Revision).pdf Supporting Statement A	2023-05-05

IC Document Collections

IC ID	Document Title	Status
239610	Audit of Documentation	Unchanged
239609	Documentation Policies and Procedures (SEC Only) (Initial Burden)	Unchanged
239608	Documentation Policies and Procedures (SEC Only) (Ongoing Burden)	Unchanged
239607	Documentation Policies and Procedures (Dual SEC/CFTC) (Initial Burden)	Unchanged
239606	Documentation Policies and Procedures Dual SEC/CFTC) (Ongoing Burden)	Unchanged
239605	Prepare and Negotiate Documentation	Unchanged
239604	Compression Policies and Procedures (SEC Only) (Initial Burden)	Unchanged
239603	Compression Policies and Procedures (SEC Only) (Ongoing Burden)	Unchanged
239500	Compression Policies and Procedures (Dual SEC/CFTC) (Initial Burden)	Unchanged
239498	Compression Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden)	Unchanged
239497	Compression and Offsets with All Counterparties	Modified
239496	Valuation Dispute Notices	Modified
239495	Reconciliation Policies and Procedures (SEC Only) (Initial Burden)	Unchanged
239494	Reconciliation Policies and Procedures (SEC Only) (Ongoing Burden)	Unchanged
239493	Reconciliation Policies and Procedures (Dual SEC/CFTC) (Initial Burden)	Unchanged
239491	Reconciliation Policies and Procedures (Dual SEC/CFTC) (Ongoing Burden)	Unchanged
239490	Reconciliation with non-SBS Entities	Unchanged
239489	Reconciliation with other SBS Entities	Unchanged