Rule 18a-4, 17 CFR 240.18a-4, establishes customer protection and segregation requirements for all firms required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers and major security-based swap participants. The information collection requirements in the rule are recordkeeping and third-party disclosure requirements related to the customer protection and segregation standards to ensure that firms do not misappropriate customer assets for their own or other unauthorized uses.
US Code:
15 USC 78a et seq
Name of Law: Securities Exchange Act of 1934
PL:
Pub.L. 111 - 203 763
Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
PL:
Pub.L. 111 - 203 764
Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
There are changes to the estimated burdens due to changes in the estimated number of respondents. These are discussed in more detail in the attached Supporting Statement.
$0
No
No
No
No
Yes
No
No
Abraham Jacob 202 551-5583
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
20250925_3235-0700_2025-18647_90 FR 46291_30-Day Submission Notice.pdf.pdf
IC16 - Rule 18a-4 - Subordination Agreements, Outside Counsel Review-- Initial, One-Time Cost