Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

ICR 202403-3235-002

OMB: 3235-0749

Federal Form Document

Forms and Documents

Document Name	Status
Form X-17A-5 FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Modified
Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
3235-0749.pdf Supplementary Document	2024-06-03
3235-0749.pdf Supplementary Document	2024-06-03
Supporting Statement (Rule 18a-7).pdf Supporting Statement A	2024-03-20

IC Document Collections

IC ID	Document Title	Status
223468	Engagement of Accountant for Stand-Alone SBSDs Exempt from 18a-4	Modified
223466	Engagement of Accountant for Stand-Alone MSBSPs	Modified
223465	FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
223464	FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Modified
223463	FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
223462	Notice of Change in Fiscal Year	Unchanged
223461	Statement Regarding Independent Public Accountant	Modified
223460	Annual Reports for Stand-Alone SBSDs Exempt from Rule 18a-4	Modified
223459	Annual Reports for Stand-Alone MSBSPs	Modified
223457	Customer Statements	Modified
223455	Reports for Model Stand-Alone SBSDs	Unchanged