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.

OMB Details

Rule 18a-1(a) VaR Models

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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