Information Collection Request

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

ICR 202403-3235-002 · OMB 3235-0749 · Received in OIRA

⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0749 can be found here:

Forms and Documents

Document Name	Status
Form X-17A-5 FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Modified
Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
3235-0749.pdf Supplementary Document	2024-06-03
3235-0749.pdf Supplementary Document	2024-06-03
Supporting Statement (Rule 18a-7).pdf Supporting Statement A	2024-03-20

IC Document Collections

IC ID	Document Title	Status
223468	Engagement of Accountant for Stand-Alone SBSDs Exempt from 18a-4	Modified
223466	Engagement of Accountant for Stand-Alone MSBSPs	Modified
223465	FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
223464	FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Modified
223463	FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
223462	Notice of Change in Fiscal Year	Unchanged
223461	Statement Regarding Independent Public Accountant	Modified
223460	Annual Reports for Stand-Alone SBSDs Exempt from Rule 18a-4	Modified
223459	Annual Reports for Stand-Alone MSBSPs	Modified
223457	Customer Statements	Modified
223455	Reports for Model Stand-Alone SBSDs	Unchanged

ICR Details

Status	Received in OIRA
Agency/Subagency	SEC
OMB Control No	3235-0749
Type of Information Collection	Extension without change of a currently approved collection
Previous ICR Reference No	202104-3235-003
Agency Tracking No	TM-270-669
Date Submitted to OIRA	1969-12-31
Requested Expiration Date	1969-12-31