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

ICR 202302-3235-007

OMB: 3235-0749

Federal Form Document

Forms and Documents

Document Name	Status
Form X-17A-5 FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
Form X-17A-5 FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Removed
Form X-17A-5 FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
3235-0749 Supporting Statement (Rule 18a-7 Proposed Revision).pdf Supporting Statement A	2023-04-18

IC Document Collections

IC ID	Document Title	Status
258490	2023 Proposed Amendments to FOCUS Report Signature Requirement	New
258489	2023 Proposed Corrective and Clarifying Amendments to FOCUS Report Part II	New
258488	2023 Proposal to Require Filing Annual Audit in Inline XBRL - Ongoing Burden	New
258487	2023 Proposal to Require Filing Annual Audit in Inline XBRL - Initial Burden	New
223468	Engagement of Accountant for Stand-Alone SBSDs	Modified
223466	Engagement of Accountant for Stand-Alone MSBSPs	Removed
223465	FOCUS Report Part IIC for Bank SBSDs Form and Instruction	Modified
223464	FOCUS Report Part II for Stand-Alone MSBSPs Form and Instruction	Removed
223463	FOCUS Report Part II for Stand-Alone SBSDs Form and Instruction	Modified
223462	Notice of Change in Fiscal Year	Unchanged
223461	Statement Regarding Independent Public Accountant	Modified
223460	Annual Reports for Stand-Alone SBSDs Exempt from Rule 18a-4	Modified
223459	Annual Reports for Stand-Alone MSBSPs	Removed
223457	Customer Statements	Modified
223455	Reports for Model Stand-Alone SBSDs	Removed