Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

OMB 3235-0498

OMB 3235-0498

Rule 17a-12 sets forth requirements for OTC derivatives dealers registered with the Commission to report financial and operational information to the Commission. Form X-17A-5IIB is the form used by OTC derivatives dealers to report this information.

The latest form for Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. expires 2022-04-30 and can be found here.

OMB Details

Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2430Form X-17A-5www.sec.gov/files/formx-17a-5_2b.pdfForm and instruction

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