Rule 18a-2 – Capital requirements for major security-based swap participants for which there is not a prudential regulator.

OMB 3235-0699

OMB 3235-0699

Rule 18a-2 establishes net capital standards and requirements for nonbank firms required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as major security-based swap participants.

The latest form for Rule 18a-2 – Capital requirements for major security-based swap participants for which there is not a prudential regulator. expires 2022-11-30 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2022-09-02
Approved with change
 New collection (Request for a new OMB Control Number) 2019-08-26
Comment filed on proposed rule
 New collection (Request for a new OMB Control Number) 2013-05-17
OMB Details

Rule 18a-2 – Capital requirements for major security-based swap participants for which there is not a prudential regulator.

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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