Information Collection Request
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 · 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⚠️ Notice: This information collection may be outdated.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 | Modified | Available |
| Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs |
Form and Instruction | Modified | Repair queued |
 3235-0749.pdf |
Supplementary Document | Uploaded 2024-06-03 | Repair queued |
| 3235-0749.pdf |
Supplementary Document | Uploaded 2024-06-03 | Available |
| Supporting Statement (Rule 18a-7).pdf |
Supporting Statement A | Uploaded 2024-03-20 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 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 |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0749 |
| Type of Information Collection | Extension without change 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 |