OMB control number

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

OMB 3235-0696 · SEC.

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 2028-01-31 and is listed under ICR 202409-3235-024.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form Form SBSE-BD Form SBSE-BD	Form and Instruction
Form Form SBSE-A Form SBSE-A	Form and Instruction
Form Form SBSE Form SBSE	Form and Instruction
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-BD Form SBSE-BD	Form and Instruction
Form Form SBSE-A Form SBSE-A	Form and Instruction
Form Form SBSE Form SBSE	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 Form SBSE-W	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-BD Form SBSE-BD	Form and Instruction
Form Form SBSE-A Form SBSE-A	Form and Instruction
Form Form SBSE Form SBSE	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 Form SBSE-C	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-BD Form SBSE-BD	Form and Instruction
Form Form SBSE-A Form SBSE-A	Form and Instruction
Form Form SBSE Form SBSE	Form and Instruction
Form Form SBSE IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	Form and Instruction
Form Form SBSE-BD Form SBSE-BD	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 Form SBSE-A	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 Form SBSE	Form and Instruction
Form Form SBSE IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form	Form and Instruction
2024 12 13_89 FR 101081_3235-0696_Submission.pdf	Supplementary Document
2024 12 13_89 FR 101081_3235-0696_Submission.pdf	Supplementary Document
89 FR 81612 (OMB 3235–0696).pdf	Supplementary Document
89 FR 81612 (OMB 3235–0696).pdf	Supplementary Document
SBSE Supporting Statement 3235-0696 SBSE Rules 15Fb1-1 to 15Fb6-2 10.2.pdf	Supporting Statement A
SBSE Supporting Statement 3235-0696 SBSE Rules 15Fb1-1 to 15Fb6-2 10.2.pdf	Supporting Statement A
SBSE Supporting Statement 2021.pdf	Supporting Statement B
SBSE Supporting Statement 2021.pdf	Supporting Statement B
EDGAR PIA 2016.pdf	Supplementary Document
EDGAR PIA 2016.pdf	Supplementary Document
IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form and Instruction
IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form and Instruction
IC11 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities for changes to Foreign Law	Form and Instruction
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
IC10 - Rule 15Fb2-4 and Schedule F: Amendments by Nonresident SBS Entities to change Agent for Service of Process	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
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	Information collection
IC6 - Rule 15Fb6-2: Review and Sign Employment Questionnaires - SBS Dealers registered or registering with the SEC or the CFTC	Information collection
IC13 - Rule 15Fb3-2 and Form SBSE-W: Complete and File Withdrawal Form	Form and Instruction
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	Information collection
IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form and Instruction
IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form and Instruction
IC9 - Rule 15Fb2-4 and Schedule F: Completion and Filing by Nonresident SBS Entities	Form and Instruction
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	Information collection
IC5 - Rule 15Fb2-1 and Form SBSE-C: Complete and File Certifications	Form and Instruction
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
IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	Form and Instruction
IC4 - Rule 15Fb2-3: Complete and File Amendments to Application Forms	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
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
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
IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form	Form and Instruction

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202409-3235-024	Extension without change of a currently approved collection	2024-12-13
202110-3235-019	Extension without change of a currently approved collection	2022-01-03	Approved without change
201811-3235-005	Extension without change of a currently approved collection	2019-02-05	Approved without change
201505-3235-011	New collection (Request for a new OMB Control Number)	2015-08-20	Approved without change
201406-3235-008	New collection (Request for a new OMB Control Number)	2014-07-15	Comment filed on proposed rule
201110-3235-012	New collection (Request for a new OMB Control Number)	2012-12-05	Comment filed on proposed rule

OMB Details

IC1 - Rule 15Fb2-1 and Form SBSE: Complete and File Application Form

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
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.