Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers

OMB 3235-0498

Rule 17a-12 sets forth requirements for OTC derivatives dealers registered with the Commission to report financial and operational information to the Commission. Form X-17A-5IIB is the form used by OTC derivatives dealers to report this information.

The latest form for Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 2430 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction
Form X-17A-5 Part III 2024 Amendment - Removal of oath or affirmation notarization requirement – Initial burden Form
Form X-17A-5 Part II 2024 Amendment - Filing FOCUS Report on SEC eFOCUS – Initial burden Form
Form X-17A-5 Part III 2024 Amendment - Amendments to FOCUS Report signature requirement – Initial burden Form
Form X-17A-5 Part II 2024 Amendment - Corrective and clarifying amendments to FOCUS Report Part II – Initial burden Form
Form X-17A-5 Part III 2024 Amendment - Filing annual audit in Inline XBRL – Ongoing burden Form
Form X-17A-5 Part III 2024 Amendment - Filing annual audit in Inline XBRL – Initial burden Form
Form X-17A-5 Part III Rule 17a-12 – Annual Audited Report and Supporting Schedules Form
Form X-17A-5 Part II Rule 17a-12/Form X-17A-5 Part II Form
Rule 17a-12 Supporting Statement (2025 Final Rule).pdf Supporting Statement A
Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers. Form and Instruction
2024 Amendment - Removal of oath or affirmation notarization requirement – Initial burden Form
2024 Amendment - Filing FOCUS Report on SEC eFOCUS – Initial burden Form
2024 Amendment - Amendments to FOCUS Report signature requirement – Initial burden Form
2024 Amendment - Corrective and clarifying amendments to FOCUS Report Part II – Initial burden Form
2024 Amendment - Filing annual audit in Inline XBRL – Ongoing burden Form
2024 Amendment - Filing annual audit in Inline XBRL – Initial burden Form
Rule 17a-12 – Annual Audited Report and Supporting Schedules Form
Rule 17a-12/Form X-17A-5 Part II Form
Rule 17a-12 Professional Accountant Review Requirements

All Historical Document Collections

202501-3235-024	Revision of a currently approved collection	2025-06-12
202407-3235-003	Extension without change of a currently approved collection	2024-10-08
202302-3235-005 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-04-19
202110-3235-010 Approved without change	Extension without change of a currently approved collection	2022-01-11
201806-3235-014 Approved without change	Extension without change of a currently approved collection	2019-02-05
201509-3235-001 Approved without change	Extension without change of a currently approved collection	2015-11-17
201211-3235-014 Approved without change	Extension without change of a currently approved collection	2013-02-06
201001-3235-007 Approved without change	Extension without change of a currently approved collection	2010-03-25
200701-3235-042 Approved without change	Revision of a currently approved collection	2007-04-20
200404-3235-009 Approved without change	Extension without change of a currently approved collection	2004-04-12
200101-3235-003 Approved without change	Extension without change of a currently approved collection	2001-01-11
199712-3235-010 Approved without change	New collection (Request for a new OMB Control Number)	1997-12-29

OMB Details

Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2430

Form X-17A-5

www.sec.gov/files/formx-17a-5_2b.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.