Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

OMB 3235-0749

Latest Forms, Documents, and Supporting Material

Document Name
Form X-17A-5 FOCUS Report Part IIIC for Bank SBSDs Form and Instruction
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction
Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction
3235-0749 (Rule 18a-7) Supporting Statement - Adopted Release.pdf Supporting Statement A
Engagement of Accountant for Stand-Alone SBSDs
Engagement of Accountant for Stand-Alone MSBSPs
FOCUS Report Part IIIC for Bank SBSDs Form and Instruction
FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction
FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction
Notice of Change in Fiscal Year
Statement Regarding Independent Public Accountant
Annual Reports for Stand-Alone SBSDs Exempt from Rule 18a-4
Annual Reports for Stand-Alone MSBSPs
Customer Statements
Reports for Model Stand-Alone SBSDs