OMB control number

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

OMB 3235-0700 · SEC.

OMB 3235-0700

Rule 18a-4, 17 CFR 240.18a-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. The information collection requirements in the rule are recordkeeping and third-party disclosure requirements related to the customer protection and segregation standards to 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 2029-01-31 and is listed under ICR 202507-3235-013.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
20250925_3235-0700_2025-18647_90 FR 46291_30-Day Submission Notice.pdf.pdf	Supplementary Document
20250925_3235-0700_2025-18647_90 FR 46291_30-Day Submission Notice.pdf.pdf	Supplementary Document
20250723_3235-0700_2025-13864_90 FR 34709_60-Day Collection Notice.pdf	Supplementary Document
20250723_3235-0700_2025-13864_90 FR 34709_60-Day Collection Notice.pdf	Supplementary Document
3235-0700 Supporting statement (2025 Extension).pdf	Supporting Statement A
3235-0700 Supporting statement (2025 Extension).pdf	Supporting Statement A
IC16 - Rule 18a-4 - Subordination Agreements, Outside Counsel Review-- Initial, One-Time Cost	Information collection
IC15 - Rule 18a-4(d)(1) (Counterparty Notice, Outside Counsel Review)-- Initial Cost	Information collection
IC14 - Rule 18a-4(f) (Exemptions)-- Ongoing Burden	Information collection
IC13 - Rule 18a-4(f) (Exemptions, Incorporating Disclosure Language)-- Initial Burden	Information collection
IC12 - Rule 18a-4(f) (Exemptions, Developing Disclosure Language--Initial Burden	Information collection
IC11 - Rule 18a-4(e)(3) (Disclosure to U.S. Counterparties)-- Ongoing Burden	Information collection
IC10 - Rule 18a-4(e)(3) (Disclosure to U.S. Counterparties, Incorporating New Language)-- Initial Burden	Information collection
IC9 - Rule 18a-4(e)(3) (Disclosures to U.S. Counterparties, Developing Forms)-- Initial Burden	Information collection
IC8 - Rule 18a-4(d)(2) (Subordination Agreements)-- Ongoing Burden	Information collection
IC7 - Rule 18a-4(d)(2) (Subordination Agreements, Entering Into)-- Initial Burden	Information collection
IC6 - Rule 18a-4(d)(2) (Subordination Agreements, Drafting)-- Initial Burden	Information collection
IC5 - Rule 18a-4(d)(1) (Counterparty Notice)-- Ongoing Burden	Information collection
IC4 - Rule 18a-4(d)(1) (Counterparty Notice)-- Initial Burden	Information collection
IC2 - Rule 18a-4(a) (Special Accounts)-- Ongoing Burden	Information collection
IC1 - Rule 18a-4(a) (Special Accounts)-- Initial Burden	Information collection
IC3 - Rule 18a-4(c) (Customer Reserve Computation)-- Ongoing Burden	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202507-3235-013	Extension without change of a currently approved collection	2025-09-25
202207-3235-021	Extension without change of a currently approved collection	2022-10-12	Approved without change
201907-3235-018	New collection (Request for a new OMB Control Number)	2019-08-26	Approved with change
201305-3235-002	New collection (Request for a new OMB Control Number)	2013-05-17	Comment filed on proposed rule

OMB Details

IC3 - Rule 18a-4(c) (Customer Reserve Computation)-- Ongoing Burden

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight