📊SEC Notice on Proposed Collection Under Rule 18a-4
The SEC is soliciting comments on the proposed collection of information per Rule 18a-4, which sets segregation and notification requirements for non-broker-dealer security-based swap dealers. This rule aims to enhance oversight and accountability in managing customer custodial responsibilities. Comments are invited on various aspects of the information collection.
Learn More📊CFTC Notice on Information Collection and Regulatory Impact
In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Learn More📊SEC Proposes Rule 18a-3 for Security-Based Swap Dealers
The Securities and Exchange Commission is requesting comments on the proposed information collection for Rule 18a-3, which establishes minimum margin requirements and risk management procedures for nonbank security-based swap dealers and participants. The notice details the compliance burden associated with this regulation and invites stakeholder input on its necessity and effectiveness.
Learn More📊CFTC Notice
The Commodity Futures Trading Commission ("Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the collections of information mandated by Commission regulations 23.201 through 23.205 (Reporting, Recordkeeping, and Daily Trading Records Requirements For Swap Dealers and Major Swap Participants).
Learn More📊CFTC Notice on Renewal of Information Collection for Swap Dealers
The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comments on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed renewal of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on the collection of information mandated by Commission regulations 23.600 (Risk Management Program for Swap Dealers and Major Swap Participants), 23.601 (Monitoring of Position Limits), 23.602 (Diligent Supervision), 23.603 (Business Continuity and Disaster Recovery), 23.606 (General Information: Availability for Disclosure and Inspection), and 23.607 (Antitrust Considerations).
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