OMB control number
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
OMB 3235-0732 ยท SEC.
As required by Title VII of the Dodd-Frank Act, Section 15F(h) of the Exchange Act established business conduct standards for security-based swap ("SBS") dealers and major security-based swap participants in their dealings with counterparties, including special entities. Exchange Act Rules 15Fh-1 through 15Fh-6 and 15Fk-1 implemented the business conduct standards requirements for SBS dealers that we believe further the principles that underlie the Dodd-Frank Act, and established regulations for the chief compliance officer functions within an SBS dealer or major SBS participant.
The latest form for Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants expires 2028-11-30 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
20250806_3235-0732_2025-14852_90 FR 37907_30-Day Submission Notice.pdf.pdf
15Fh-3(e), (f) - Know Your Counterparty and Recommendations (Market Participants) | Extension without change of a currently approved collection | 2025-08-07 | ||
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Comment filed on proposed rule and continue |
Revision of a currently approved collection | 2023-05-25 | |
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Approved without change |
Extension without change of a currently approved collection | 2022-07-19 | |
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Approved without change |
Extension without change of a currently approved collection | 2019-07-24 | |
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Approved without change |
New collection (Request for a new OMB Control Number) | 2016-06-16 | |
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2015-10-02 |
15Fh-3(a) - Verification of Status - Adherence Letter (SBS Entities)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight