Rule 17Ad-22 Clearing Agency Standards for Operation and Governance

Rule 17Ad-22 establishes minimum standards for the governance, operations, and risk management of registered clearing agencies and "covered clearing agencies" (which are registered clearing agencies that provide central counterparty or central securities depository services). Specifically, Rule 17Ad-22(e) includes requirements for covered clearing agencies, as defined in Rule 17Ad-22(a)(5); Rule 17Ad-22(d) includes requirements for all registered clearing agencies that are not covered clearing agencies; and Rules 17Ad-22(b) and (c) include certain other requirements for registered clearing agencies that perform central counterparty services. This submission is a revision of the previous approved collection. It adds two new information collections (“IC – 55 17Ad-22(e)(6) (Enhanced Margin)” and “IC – 56 17Ad-22(e)(6) (Enhanced Margin RNR)”) to the previously approved collection. This submission makes no other changes to the previous approved collection.

The latest form for Rule 17Ad-22 Clearing Agency Standards for Operation and Governance expires 2027-03-31 and can be found here.

IC1 - Rules 17Ad-22(b)(1)-(3)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight