Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers

Rule 18a-9 would require stand-alone SBSDs to note any discrepancies between the count and the firm’s records, and to record in the firm’s record any discrepancies that remain unresolved seven business days after the date of the examination, count, and verification. Rule 18a-9 would allow the Commission to exempt any stand-alone SBSD from the rule if the Commission determines that it is not necessary in the public interest and for the protection of investors to subject the firm to certain or all of the provisions of the rule.

The latest form for Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers expires 2027-08-31 and can be found here.