Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants

OMB 3235-0696

Rules 15Fb1-1 through 15Fb6-1 are designed to provide security-based swap dealers and major security-based swap participants with a method by which they can register with the Commission. Forms SBSE, SBSE-A, SBSE-BD, and SBSE-C are designed to provide the Commission with information necessary to determine whether to grant registration. Form SBSE-W is designed to provide the Commission with information necessary to determine whether it is appropriate to allow an entity to withdraw from registration.

The latest form for Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form Form SBSE IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law Form and Instruction
Form Form SBSE IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process Form and Instruction
Form Form SBSE-W IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form Form and Instruction
Form Form SBSE IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities Form and Instruction
Form Form SBSE-C IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications Form and Instruction
Form Form SBSE IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms Form and Instruction
Form Form SBSE-BD IC3 - Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form Form and Instruction
Form Form SBSE-A IC2 - Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form Form and Instruction
Form Form SBSE IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form Form and Instruction
3235-0696 2021-24429.pdf Supplementary Document
3235-0696.pdf Supplementary Document
EDGAR PIA 2016.pdf Supplementary Document
SBSE Supporting Statement 2021.pdf Supporting Statement A
30 day notice for registration requirements for security based swap dealers.pdf Supplementary Document
60 day notice for registration requirements for security based swap dealers.pdf Supplementary Document
IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law Form and Instruction
IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process Form and Instruction
IC8 - Rule 15Fb6-2: Review and Sign Employment Questionnaire - Major SBS Participants already registered or registering with the SEC or the CFTC
IC6 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers registered or registering with the SEC or the CFTC
IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form Form and Instruction
IC12 - Rule 15Fb1-1: Retain Manually Signed Signature Pages
IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities Form and Instruction
IC7 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers not registered or registering with the SEC or the CFTC
IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications Form and Instruction
IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms Form and Instruction
IC3 - Rule 15Fb2-1 and Form SBSE-BD: Complete and File Application Form Form and Instruction
IC2 - Rule 15Fb2-1 and Form SBSE-A: Complete and File Application Form Form and Instruction
IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form Form and Instruction

All Historical Document Collections

202110-3235-019 Approved without change	Extension without change of a currently approved collection	2022-01-03
201811-3235-005 Approved without change	Extension without change of a currently approved collection	2019-02-05
201505-3235-011 Approved without change	New collection (Request for a new OMB Control Number)	2015-08-20
201406-3235-008 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2014-07-15
201110-3235-012 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2012-12-05

OMB Details

Rule 15Fb2-1 and Form SBSE: Complete and File Application Form

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form SBSE

Form SBSE

www.sec.gov/files/form-sbse.pdf

Form and instruction

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