OMB control number
Rule 18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities
OMB 3235-0785 · SEC.
Rule 18a-10 establishes an alternative compliance mechanism under which a stand-alone security-based swap dealer that is also registered as a swap dealer and that predominantly engages in a swaps business may elect to comply with the capital, margin, segregation and recordkeeping requirements of the Commodity Exchange Act and the rules thereunder applicable to swap dealers in lieu of complying with Rules 18a-1, and 18a-3 through 18a-9.
The latest form for Rule 18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities expires 2028-03-31 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
2024 12 20_89 FR 104252_3235-0785_30-Day Submission Notice.pdf.pdf
Rule 18a-10 - Simultaneous Notification | Extension without change of a currently approved collection | 2024-12-20 | ||
| New collection (Request for a new OMB Control Number) | 2021-08-16 | ||
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2021-05-05 |
Rule 18a-10 - Develop Disclosure Language
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight