OMB control number
Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers
OMB 3235-0498 · SEC.
Rule 17a-12 (17 CFR 240.17a-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, and the Commission uses the information to monitor compliance with its financial responsibility rules. 2025 PARTIAL REVISION: The Commission recently amended the rule and form to add an electronic filing requirement.
The latest form for Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers expires 2027-11-30 and can be found here.
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Supporting Statement A |
Form SEC 2430 Form X-17A-5
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. 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 |
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