Proposed Form SBS for Stand-Alone SBSDs

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0749 can be found here:

Documents and Forms

Document Name Document Type
Form FOCUS Report Form Proposed Form SBS for Stand-Alone SBSDs Form and Instruction
FOCUS Report Form FOCUS Report Form SBS FOCUS Report Form SBS.pdf www.sec.gov/forms Form and Instruction

Information Collection (IC) Details

IC Title:	Proposed Form SBS for Stand-Alone SBSDs	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.18a-7

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	FOCUS Report Form SBS	FOCUS Report Form SBS	FOCUS Report Form SBS.pdf	https://www.sec.gov/forms	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 9	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Requested	Program Change Due to New Statute
Annual Number of Responses for this IC	108	108
Annual IC Time Burden (Hours)	2,208	2,208
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.