OMB control number

Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers

OMB 3235-0498 · SEC.

OMB 3235-0498

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 is listed under ICR 202501-3235-024.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form SEC 2430 Form X-17A-5	Form and Instruction
Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.	Form and Instruction
Form X-17A-5 Part III X-17A-5 Part III	Form
Form X-17A-5 Part III 2024 Amendment - Removal of oath or affirmation notarization requirement – Initial burden	Form
Form X-17A-5 Part II X-17A-5 Part II	Form
Form X-17A-5 Part II 2024 Amendment - Filing FOCUS Report on SEC eFOCUS – Initial burden	Form
Form X-17A-5 Part III X-17A-5 Part III	Form
Form X-17A-5 Part III 2024 Amendment - Amendments to FOCUS Report signature requirement – Initial burden	Form
Form X-17A-5 Part II X-17A-5 Part II	Form
Form X-17A-5 Part II 2024 Amendment - Corrective and clarifying amendments to FOCUS Report Part II – Initial burden	Form
Form X-17A-5 Part III X-17A-5 Part III	Form
Form X-17A-5 Part III 2024 Amendment - Filing annual audit in Inline XBRL – Ongoing burden	Form
Form X-17A-5 Part III X-17A-5 Part III	Form
Form X-17A-5 Part III 2024 Amendment - Filing annual audit in Inline XBRL – Initial burden	Form
Form X-17A-5 Part III X-17A-5 Part III	Form
Form X-17A-5 Part III Rule 17a-12 – Annual Audited Report and Supporting Schedules	Form
Form X-17A-5 Part II X-17A-5 Part II	Form
Form X-17A-5 Part II Rule 17a-12/Form X-17A-5 Part II	Form
Rule 17a-12 Supporting Statement (2025 Final Rule).pdf	Supporting Statement A
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.	Form and Instruction
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.	Form and Instruction
2024 Amendment - Removal of oath or affirmation notarization requirement – Initial burden	Form
2024 Amendment - Removal of oath or affirmation notarization requirement – Initial burden	Form
2024 Amendment - Filing FOCUS Report on SEC eFOCUS – Initial burden	Form
2024 Amendment - Filing FOCUS Report on SEC eFOCUS – Initial burden	Form
2024 Amendment - Amendments to FOCUS Report signature requirement – Initial burden	Form
2024 Amendment - Amendments to FOCUS Report signature requirement – Initial burden	Form
2024 Amendment - Corrective and clarifying amendments to FOCUS Report Part II – Initial burden	Form
2024 Amendment - Corrective and clarifying amendments to FOCUS Report Part II – Initial burden	Form
2024 Amendment - Filing annual audit in Inline XBRL – Ongoing burden	Form
2024 Amendment - Filing annual audit in Inline XBRL – Ongoing burden	Form
2024 Amendment - Filing annual audit in Inline XBRL – Initial burden	Form
2024 Amendment - Filing annual audit in Inline XBRL – Initial burden	Form
Rule 17a-12 – Annual Audited Report and Supporting Schedules	Form
Rule 17a-12 – Annual Audited Report and Supporting Schedules	Form
Rule 17a-12/Form X-17A-5 Part II	Form
Rule 17a-12/Form X-17A-5 Part II	Form
Rule 17a-12 Professional Accountant Review Requirements	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202501-3235-024	Revision of a currently approved collection	2025-06-12
202407-3235-003	Extension without change of a currently approved collection	2024-10-08
202302-3235-005	Revision of a currently approved collection	2023-04-19	Comment filed on proposed rule and continue
202110-3235-010	Extension without change of a currently approved collection	2022-01-11	Approved without change
201806-3235-014	Extension without change of a currently approved collection	2019-02-05	Approved without change
201509-3235-001	Extension without change of a currently approved collection	2015-11-17	Approved without change
201211-3235-014	Extension without change of a currently approved collection	2013-02-06	Approved without change
201001-3235-007	Extension without change of a currently approved collection	2010-03-25	Approved without change
200701-3235-042	Revision of a currently approved collection	2007-04-20	Approved without change
200404-3235-009	Extension without change of a currently approved collection	2004-04-12	Approved without change
200101-3235-003	Extension without change of a currently approved collection	2001-01-11	Approved without change
199712-3235-010	New collection (Request for a new OMB Control Number)	1997-12-29	Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
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.