Other Substituted Compliance Orders and Staff Statements
May 30, 2024
- Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations with Respect to Exchange Act Rule 18a-7 (superseded)
- Amended and Restated Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants that are not U.S. Persons and are Relying on Substituted Compliance Determinations with Respect to Rule 18a-7
- FOCUS Report Part II with highlighted fields (effective through February 28, 2026)
- FOCUS Report Part IIC with highlighted fields (effective through February 28, 2026)
- FOCUS Report Part II with highlighted fields (effective beginning March 1, 2026)
- FOCUS Report Part IIC with highlighted fields (effective beginning March 1, 2026)
- Staff Statement on Submitting Notices, Statements, Applications, and Reports for Security-Based Swap Dealers and Major Security-Based Swap Participants Pursuant to the Financial Responsibility Rules (Exchange Act Rules 18a-1 through 18a-10)
Last Reviewed or Updated: April 3, 2025