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

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
SUPPORTING STATEMENT 18A-4 (3235-0700) Final Rule.v2.pdf Supporting Statement A
Rule 18a-4 - Subordination Agreements, Outside Counsel Review-- Initial, One-Time Cost
Rule 18a-4(d)(1) (Counterparty Notice, Outside Counsel Review)-- Initial Cost
Rule 18a-4(f) (Exemptions)-- Ongoing Burden
Rule 18a-4(f) (Exemptions, Incorporating Disclosure Language)-- Initial Burden
Rule 18a-4(f) (Exemptions, Developing Disclosure Language--Initial Burden
Rule 18a-4(e)(3) (Disclosure to U.S. Counterparties)-- Ongoing Burden
Rule 18a-4(e)(3) (Disclosure to U.S. Counterparties, Incorporating New Language)-- Initial Burden
Rule 18a-4(e)(3) (Disclosures to U.S. Counterparties, Developing Forms)-- Initial Burden
Rule 18a-4(d)(2) (Subordination Agreements)-- Ongoing Burden
Rule 18a-4(d)(2) (Subordination Agreements, Entering Into)-- Initial Burden
Rule 18a-4(d)(2) (Subordination Agreements, Drafting)-- Initial Burden
Rule 18a-4(d)(1) (Counterparty Notice)-- Ongoing Burden
Rule 18a-4(d)(1) (Counterparty Notice)-- Initial Burden
Rule 18a-4(a) (Special Accounts)-- Ongoing Burden
Rule 18a-4(a) (Special Accounts)-- Initial Burden
Rule 18a-4 Subordination Agreements
Rule 18a-4 -- Counterparty Notice
Rule 18a-4(c) (Customer Reserve Computation)-- Ongoing Burden
Rule 18a-4 Special Accounts

All Historical Document Collections

201907-3235-018 Approved with change	New collection (Request for a new OMB Control Number)	2019-08-26
201305-3235-002 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

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

OMB 3235-0700

Rule 18a-4 Special Accounts

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