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

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.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction
Form X-17A-5 Part II 2023 proposal to require FOCUS Report to be filed on SEC eFOCUS Form
Form X-17a-5 Part III 2023 proposed amendments to FOCUS Report signature requirement Form
Form X-17A-5 Part II 2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form
Form X-17A-5 Part II Form X-17A-5 Part II Form
Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden Form
Form X-17A-5 Part III 2023 proposal to require filing annual audit in Inline XBRL - Initial burden Form
Form X-17A-5 Part III Annual audited report Form
Rule 17a-12 Supporting Statement (Proposed Rule).pdf Supporting Statement A
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction
2023 proposal to require FOCUS Report to be filed on SEC eFOCUS Form
2023 proposed amendments to FOCUS Report signature requirement Form
2023 proposed corrective and clarifying amendments to FOCUS Report Part II Form
Form X-17A-5 Part II Form
2023 proposal to require filing annual audit in Inline XBRL - Ongoing burden Form
2023 proposal to require filing annual audit in Inline XBRL - Initial burden Form
Annual audited report Form
Rule 17a-12 Professional Accountant Review Requirements

All Historical Document Collections

202302-3235-005 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-04-19
202110-3235-010 Approved without change	Extension without change of a currently approved collection	2022-01-11
201806-3235-014 Approved without change	Extension without change of a currently approved collection	2019-02-05
201509-3235-001 Approved without change	Extension without change of a currently approved collection	2015-11-17
201211-3235-014 Approved without change	Extension without change of a currently approved collection	2013-02-06
201001-3235-007 Approved without change	Extension without change of a currently approved collection	2010-03-25
200701-3235-042 Approved without change	Revision of a currently approved collection	2007-04-20
200404-3235-009 Approved without change	Extension without change of a currently approved collection	2004-04-12
200101-3235-003 Approved without change	Extension without change of a currently approved collection	2001-01-11
199712-3235-010 Approved without change	New collection (Request for a new OMB Control Number)	1997-12-29

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2430

Form X-17A-5

www.sec.gov/files/formx-17a-5_2b.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.