OMB control number
Rule 18a-4, Segregation requirements for security-based swap dealers and major security-based swap participants
OMB 3235-0700 ยท SEC.
Rule 18a-4, 17 CFR 240.18a-4, establishes customer protection and segregation requirements for all firms required to register with the SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as security-based swap dealers and major security-based swap participants. The information collection requirements in the rule are recordkeeping and third-party disclosure requirements related to the customer protection and segregation standards to ensure that firms do not misappropriate customer assets for their own or other unauthorized uses.
The latest form for Rule 18a-4, Segregation requirements for security-based swap dealers and major security-based swap participants expires 2029-01-31 and can be found here.
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
20250925_3235-0700_2025-18647_90 FR 46291_30-Day Submission Notice.pdf.pdf
IC16 - Rule 18a-4 - Subordination Agreements, Outside Counsel Review-- Initial, One-Time Cost | Extension without change of a currently approved collection | 2025-09-25 | ||
|
Approved without change |
Extension without change of a currently approved collection | 2022-10-12 | |
|
Approved with change |
New collection (Request for a new OMB Control Number) | 2019-08-26 | |
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2013-05-17 |
IC3 - Rule 18a-4(c) (Customer Reserve Computation)-- Ongoing Burden
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight