Form SBSE Files Dataset

Form SBSE is an application for registration as a security-based swap dealer or major security-based swap participant, filed pursuant to Section 15F of the Securities Exchange Act of 1934. Entities that are not registered or registering as broker-dealers with the SEC, nor as swap dealers or major swap participants with the CFTC, must use this form to register with the Commission. The dataset includes all Form SBSE and Form SBSE/A filings submitted to EDGAR from October 2021 to present. Form SBSE/A filings represent amendments to previously filed registration applications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains identifying information about the applicant, responses to statutory disqualification questions, required Schedules A through F as applicable, disclosure of control relationships and disciplinary history, and certifications regarding compliance with applicable regulatory requirements.

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