Rule 18a-4 – Segregation requirements for security-based swap dealers and major security-based swap participants.

Rule 18a-4 establishes customer protection and segregation requirements for all firms required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers and major security-based swap participants. Customer protection and segregation standards ensure that firms do not misappropriate customer assets for their own or other unauthorized uses.

The latest form for Rule 18a-4 – Segregation requirements for security-based swap dealers and major security-based swap participants. expires 2022-11-30 and can be found here.

Rule 18a-4 Special Accounts

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight