OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator

OMB 3235-0701 · SEC.

OMB 3235-0701

Rule 18a-1, 17 CFR 240.18a-1, provides the net capital standards and requirements for nonbank firms that are not subject to SEC Rule 15c3-1 and that are required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers (SBSDs). The rule includes information collections that are designed to ensure that these SBSDs maintain sufficient liquidity at all times to meet all unsubordinated obligations of their customers and counterparties and, should an SBSD fail, that there are sufficient resources for an orderly liquidation. The information collection requirements include reporting, recordkeeping, and third-party disclosure requirements that facilitate the SEC's monitoring of the financial condition of these SBSDs.

The latest form for Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator expires 2029-01-31 and is listed under ICR 202505-3235-018.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
20250919_3235-0701_2025-18117_90 FR 45273_30-Day Submission Notice.pdf.pdfSupplementary Document
20250919_3235-0701_2025-18117_90 FR 45273_30-Day Submission Notice.pdf.pdf Supplementary Document
3235-0701 Supporting Statement (2025 Extension).pdfSupporting Statement A
3235-0701 Supporting Statement (2025 Extension).pdfSupporting Statement A
20250715_3235-0701_2025-13254_90 FR 31716_60-Day Collection Notice.pdfSupplementary Document
20250715_3235-0701_2025-13254_90 FR 31716_60-Day Collection Notice.pdf Supplementary Document
Rule 18a-1(d) (VaR Models – IT) - Initial Burden Information collection
Rule 18a-1(c) Account Control Agreement Legal Analysis (outside counsel) - Initial Burden Information collection
Rule 18a-1(c) Account Control Agreement Legal Analysis (In-house counsel) - Initial Burden Information collection
Rule 18a-1(c) - Account Control Agreements Opinion of Counsel - Initial Burden Information collection
Rule 18a-1 - Subordinated Loan Agreements - Initial Burden Information collection
Rule 18a-1(f) - Risk Management Control System - Initial Burden Information collection
Rule 18a-1 - VaR Models - Initial Burden Information collection
Rule 18a-1(c) - Account Control Agreements Opinion of Counsel-- Ongoing Burden Information collection
Rule 18a-1 - Subordinated Loan Agreements-- Ongoing Burden Information collection
Rule 18a-1(h) Commission Notices Information collection
18a-1(c) Industry Sector Classification Information collection
18a-1(f) Risk Management Control System-- Ongoing Burden Information collection
Rule 18a-1(a) VaR Models - Ongoing Burden Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202505-3235-018 Extension without change of a currently approved collection 2025-09-19
202205-3235-003 Extension without change of a currently approved collection 2022-09-15 Approved without change
201907-3235-015 New collection (Request for a new OMB Control Number) 2019-08-26 Approved without change
201305-3235-001 New collection (Request for a new OMB Control Number) 2013-05-17 Comment filed on proposed rule

OMB Details

Rule 18a-1(a) VaR Models - Ongoing Burden

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight