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Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants
OMB 3235-0751
OMB.report
SEC
OMB 3235-0751
OMB 3235-0751
Latest Forms, Documents, and Supporting Material
Document
Name
3235-0751.pdf
Supplementary Document
3235-0751.pdf
Supplementary Document
Supporting Statement Rule 18a-6 (0751) PRA Ext 3.13.pdf
Supporting Statement A
Rule 18a-6(b)(1)(i) - Risk Mitigation
Alternative undertaking - Cloud Service Providers
Alternative undertaking - SBS Entities
18a-6(e ) - Audit Trail Alternative to WORM
18a-6(e ) - Backup or Redundancy Alternative Recordkeeping Systems for SBS Entities
18a-6(e)- Third Party or Designated Officer Undertaking
Third-Party Custodians
Bank SBSDs: Paragraphs (b)(2)(i) and (b)(2)(v)
Bank SBSDs and bank MSBSPs: Paragraphs (a)(2), (b)(2)(i) (b)(2)(iv), (b(2)(vi)-(viii), (d)(1),(d)(2)(ii), (d)(3)(ii)
ANC stand-alone SBSDs: Paragraph (b)(1)(x)
Stand-alone SBSDs: Paragraphs (b)(1)(i), (a)(14), and (a)(16)
Stand-alone SBSDs and stand-alone MSBSPs: Paragraphs (a)(1), (b)(1)(ii) (b)(1)(ix), (b)(1)(xi) (b)(1)(xiii), (c), (d)(1), (d)(2)(i), and (d)(3)(i)
All Historical Document Collections
202402-3235-012
Extension without change of a currently approved collection
2024-05-24
202306-3235-019
Comment filed on proposed rule and continue
Revision of a currently approved collection
2023-06-23
202301-3235-028
Approved without change
Revision of a currently approved collection
2023-02-09
202205-3235-050
Comment filed on proposed rule and continue
Revision of a currently approved collection
2022-06-29
202104-3235-002
Approved without change
New collection (Request for a new OMB Control Number)
2021-05-05
201608-3235-005
Comment filed on proposed rule
New collection (Request for a new OMB Control Number)
2016-08-19
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