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.
Supporting Statement A
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|
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight