OMB control number
Exchange Act Rule 18a-5
OMB 3235-0745 ยท SEC.
OMB 3235-0745
Exchange Act Rule 18a-5, as adopted, establishes recordkeeping requirements applicable to stand-alone SBSDs, stand-alone MSBSPs, bank SBSDs, and bank MSBSPs. Rule 18a-5 is modeled on Exchange Act Rule 17a-3, which applies to broker-dealers, but it does not include a parallel requirement for every requirement in Rule 17a-3 because some of the requirements in Rule 17a-3 relate to activities that are not expected or permitted of SBSDs and MSBSPs.
The latest form for Exchange Act Rule 18a-5 expires 2027-05-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
3235-0745.pdf
Bank SBSDs: Paragraphs (b)(9), (b)(10), and (b)(12) All Historical Document Collections
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Approved without change |
Extension without change of a currently approved collection | 2024-03-21 | |
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Approved without change |
New collection (Request for a new OMB Control Number) | 2021-05-05 | |
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2019-11-18 | |
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2016-06-28 |
OMB Details
Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1) through (a)(10), (a)(12), (a)(15), and (a)(17)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight