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

OMB 3235-0749

Latest Forms, Documents, and Supporting Material

Document Name
Form Form X-17A-5 Part 2024 Amendments – Aligning FOCUS Report Part IIC with FFIEC Form 031(initial burden) Form
Form Form X-17A-5 Part 2024 Amendments – Corrective and clarifying amendments to FOCUS Report Part II (initial burden) Form
Form X-17A-5 FOCUS Report Part IIC for Bank SBSDs Form and Instruction
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction
Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction
3235-0749 Supporting Statement (2025) Final.pdf Supporting Statement A
2024 Amendments – Removal of oath or affirmation notarization requirement (initial burden)
2024 Amendments – Amendments to FOCUS report signature requirement (initial burden)
2024 Amendments – Aligning FOCUS Report Part IIC with FFIEC Form 031(initial burden) Form
2024 Amendments – Corrective and clarifying amendments to FOCUS Report Part II (initial burden) Form
2024 Amendments – Filing annual audit in Inline XBRL (ongoing burden)
2024 Amendments – Filing annual audit in Inline XBRL (initial burden)
Engagement of Accountant for Stand-Alone SBSDs Exempt from 18a-4
Engagement of Accountant for Stand-Alone MSBSPs
FOCUS Report Part IIC for Bank SBSDs Form and Instruction
FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction
FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction
Notice of Change in Fiscal Year
Statement Regarding Independent Public Accountant
Annual Reports for Stand-Alone SBSDs Exempt from Rule 18a-4
Annual Reports for Stand-Alone MSBSPs
Customer Statements
Reports for Model Stand-Alone SBSDs