Information Collection Request
Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants
ICR 202302-3235-007 · OMB 3235-0749 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0749 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form X-17A-5 FOCUS Report Part IIC for Bank SBSDs |
Form and Instruction | Modified | Repair queued |
| Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs |
Form and Instruction | Removed | Repair queued |
| Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs |
Form and Instruction | Modified | Repair queued |
 3235-0749 Supporting Statement (Rule 18a-7 Proposed Revision).pdf |
Supporting Statement A | Uploaded 2023-04-18 | Repair queued |
IC Document Collections
2023 Proposed Amendments to FOCUS Report Signature RequirementICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0749 |
| Type of Information Collection | Revision of a currently approved collection |
| Previous ICR Reference No | 202104-3235-003 |
| Agency Tracking No | TM-270-669 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |