Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants

OMB 3235-0751

Latest Forms, Documents, and Supporting Material

Document Name
3235-0751 Supporting Statement (2023 Cybersecurity Risk Management Proposal).pdf Supporting Statement A
SBS Entities – Retention of written report documenting annual review
SBS Entities – Retention of copy of any Form SCIR or immediate notice to the Commission
SBS Entities – Retention of records documenting a cybersecurity incident
SBS Entities – Retention of records documenting a Covered Entity's cybersecurity risk assessment
SBS Entities – Retention of copy of any public disclosures
SBS Entities - Retention of cybersecurity policies and procedures
Rule 18a-6(b)(1)(i) - Risk Mitigation
Alternative undertaking - Cloud Service Providers
Alternative undertaking - SBS Entities
18a-6(e ) - Audit Trail Alternative to WORM
18a-6(e ) - Backup or Redundancy Alternative Recordkeeping Systems for SBS Entities
18a-6(e)- Third Party or Designated Officer Undertaking
Third-Party Custodians
Bank SBSDs: Paragraphs (b)(2)(i) and (b)(2)(v)
Bank SBSDs and bank MSBSPs: Paragraphs (a)(2), (b)(2)(i) (b)(2)(iv), (b(2)(vi)-(viii), (d)(1),(d)(2)(ii), (d)(3)(ii)
ANC stand-alone SBSDs: Paragraph (b)(1)(x)
Stand-alone SBSDs: Paragraphs (b)(1)(i), (a)(14), and (a)(16)
Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1), (b)(1)(ii) (b)(1)(ix), (b)(1)(xi) (b)(1)(xiii), (c), (d)(1), (d)(2)(i), and (d)(3)(i)