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

Exchange Act Rule 18a-7, 17 CFR 18a-7, establishes reporting requirements applicable to stand-alone SBSDs, stand-alone MSBSPs, bank SBSDs, and bank MSBSPs. Rule 18a-7 is modeled on Exchange Act Rule 17a-5, which applies to broker-dealers, but it does not include a parallel requirement for every requirement in Rule 17a-5 because some of the requirements in Rule 17a-5 relate to activities that are not expected or permitted of SBSDs and MSBSPs. 2025 PARTIAL REVISION: The Commission recently amended Rule 18a-7 to require annual audited reports and related annual filings to be filed electronically in Inline eXtensible Business Reporting Language (“Inline XBRL”) through the Commission’s Electronic Data Gathering and Retrieval (“EDGAR”) system and is revising this information collection request in accordance with those amendments.

The latest form for Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants expires 2027-07-31 and can be found here.

Reports for Model Stand-Alone SBSDs

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight