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

OMB 3235-0696

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.

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OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form SBSEForm SBSEwww.sec.gov/files/form-sbse.pdfForm and instruction

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