Rule 18a-1 Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator
OMB 3235-0701
OMB 3235-0701
Rule 18a-1 establishes net capital standards and requirements for nonbank firms not subject to Rule 15c3-1 and required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers. Net capital standards ensure that firms maintain sufficient liquid assets to meet all customer obligations.
The latest form for Rule 18a-1 Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator expires 2022-10-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0701.pdf
Rule 18a-1(d) (VaR Models) All Historical Document Collections
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Approved without change |
Extension without change of a currently approved collection | 2022-09-15 | |
|
Approved without 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-1(a) VaR Models
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
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