Rule 18a-4 Segregation requirements for security-based swap dealers and major security-based swap participants.
OMB 3235-0700
OMB 3235-0700
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.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0700.pdf
IC16 - Rule 18a-4 - Subordination Agreements, Outside Counsel Review-- Initial, One-Time Cost All Historical Document Collections
|
Approved without change |
Extension without change of a currently approved collection | 2022-10-12 | |
|
Approved with change |
New collection (Request for a new OMB Control Number) | 2019-08-26 | |
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2013-05-17 |
OMB Details
Rule 18a-4 Special Accounts
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
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