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.
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Supporting Statement A |
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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.