OMB control number
Rule 18a-2, Capital requirements for major security-based swap participants for which there is not a prudential regulator.
OMB 3235-0699 · SEC.
OMB 3235-0699
Rule 18a-2, 17 CFR 240.18a-2, establishes capital requirements for nonbank major security-based swap participants that are also not registered as broker-dealers (“nonbank MSBSPs”). In particular, a nonbank MSBSP is required at all times to have and maintain positive tangible net worth. Rule 18a-2 establishes capital requirements for nonbank major security-based swap participants that are also not registered as broker-dealers (“nonbank MSBSPs”). In particular, a nonbank MSBSP is required at all times to have and maintain positive tangible net worth. The collections of information in Rule 18a-2 will facilitate the monitoring of the financial condition of nonbank MSBSPs by the Commission and its staff. Under Rule 18a-2, nonbank MSBSPs also need to comply with Exchange Act Rule 15c3-4 (17 CFR 240.15c3-4) (OMB Control No. 3235-0497), which requires OTC derivatives dealers and other firms subject to its provisions to establish, document, and maintain a system of internal risk management controls to assist the firm in managing the risk associated with its business activities, including market, credit, leverage, liquidity, legal, and operational risks.
The latest form for Rule 18a-2, Capital requirements for major security-based swap participants for which there is not a prudential regulator. expires 2029-01-31 and is listed under ICR 202507-3235-006.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20250919_3235-0699_2025-18116_90 FR 45272_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20250919_3235-0699_2025-18116_90 FR 45272_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20250715_3235-0699_2025-13253_90 FR 31733_60-Day Collection Notice.pdf | Supplementary Document |
| 20250715_3235-0699_2025-13253_90 FR 31733_60-Day Collection Notice.pdf | Supplementary Document |
| 3235-0699 Supporting Statement (2025 Extension).pdf | Supporting Statement A |
| 3235-0699 Supporting Statement (2025 Extension).pdf | Supporting Statement A |
 Rule 18a-2 - Information technology costs |
Information collection |
| Rule 18a-2 – Outside management consultant costs |
Information collection |
| Rule 18a-2 - Capital requirements for major security-based swap participants for which there is not a prudential regulator. |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202507-3235-006 | Extension without change of a currently approved collection | 2025-09-19 | ||
| 202206-3235-007 | Extension without change of a currently approved collection | 2022-09-02 | Approved without change | |
| 201907-3235-016 | New collection (Request for a new OMB Control Number) | 2019-08-26 | Approved with change | |
| 201305-3235-003 | New collection (Request for a new OMB Control Number) | 2013-05-17 | Comment filed on proposed rule |
OMB Details
Rule 18a-2 - Capital requirements for major security-based swap participants for which there is not a prudential regulator.
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