Core Principles and Other Requirements for Swap Execution Facilities

Documents and Forms

Document Name Document Type
Form Form SEF Core Principles and Other Requirements for Swap Execution Facilities Form and Instruction
Form SEF Form SEF Form SEF.pdf https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf Form and Instruction
Form SEF Form SEF Form SEF.pdf https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf Form and Instruction
Questionnaire SEF Technology Questionnaire SEF Technology Questionnaire.pdf www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download Form and Instruction
Questionnaire SEF Technology Questionnaire SEF Technology Questionnaire.pdf www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Core Principles and Other Requirements for Swap Execution Facilities	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 9 17 CFR 37

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form SEF	Form SEF	Form SEF.pdf	https://www.cftc.gov/sites/default/files/idc/groups/public/@industryoversight/documents/file/formsef.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	Questionnaire	SEF Technology Questionnaire	SEF Technology Questionnaire.pdf	https://www.cftc.gov/media/4186/ExhibitVTechnologyQuestionnaire/download	Yes	Yes	Fillable Fileable

Line of Business: General Government

Subfunction: Executive Functions

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 20	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	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	7,829,147	7,823,987	5,160
Annual IC Time Burden (Hours)	15,499	7,759	7,740
Annual IC Cost Burden (Dollars)	0	0	0

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.