OMB control number
Exchange Act Rule 18a-5
OMB 3235-0745 ยท SEC.
OMB 3235-0745
Exchange Act Rule 18a-5, as adopted, establishes recordkeeping requirements applicable to stand-alone SBSDs, stand-alone MSBSPs, bank SBSDs, and bank MSBSPs. Rule 18a-5 is modeled on Exchange Act Rule 17a-3, which applies to broker-dealers, but it does not include a parallel requirement for every requirement in Rule 17a-3 because some of the requirements in Rule 17a-3 relate to activities that are not expected or permitted of SBSDs and MSBSPs.
The latest form for Exchange Act Rule 18a-5 expires 2027-05-31 and is listed under ICR 202311-3235-004.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0745.pdf | Supplementary Document |
 3235-0745.pdf | Supplementary Document |
| Supporting Statement_Rule18a-5 2024 DGL REVISED.pdf | Supporting Statement A |
 Bank SBSDs: Paragraphs (b)(9), (b)(10), and (b)(12) |
Information collection |
| Bank SBSDs and bank MSBSPs: Paragraphs (b)(1) through (b)(8), (b)(11), (b)(13) |
Information collection |
| Stand-alone SBSDs: Paragraphs (a)(13), (a)(14), and (a)(16) |
Information collection |
| Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1) through (a)(10), (a)(12), (a)(15), and (a)(17) |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202311-3235-004 | Extension without change of a currently approved collection | 2024-03-21 | Approved without change | |
| 202104-3235-001 | New collection (Request for a new OMB Control Number) | 2021-05-05 | Approved without change | |
| 201910-3235-012 | New collection (Request for a new OMB Control Number) | 2019-11-18 | Comment filed on proposed rule | |
| 201606-3235-012 | New collection (Request for a new OMB Control Number) | 2016-06-28 | Comment filed on proposed rule |
OMB Details
Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1) through (a)(10), (a)(12), (a)(15), and (a)(17)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight