Rules 15Fb1-1 through 15Fb6-1 are designed to provide security-based swap dealers and major security-based swap participants with a method by which they can register with the Commission. Forms SBSE, SBSE-A, SBSE-BD, and SBSE-C are designed to provide the Commission with information necessary to determine whether to grant registration. Form SBSE-W is designed to provide the Commission with information necessary to determine whether it is appropriate to allow an entity to withdraw from registration.
The latest form for Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants expires 2022-04-30 and can be found here.
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Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
Approved without change |
Extension without change of a currently approved collection | 2022-01-03 | |
Approved without change |
Extension without change of a currently approved collection | 2019-02-05 | |
Approved without change |
New collection (Request for a new OMB Control Number) | 2015-08-20 | |
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2014-07-15 | |
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2012-12-05 |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
Form Form SBSE | Form SBSE | www.sec.gov/files/form-sbse.pdf | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.