Form SBSE-A/A Filings

What Is SEC Form SBSE-A/A?

SEC Form SBSE-A/A is an important filing used to amend a previously submitted Form SBSE-A application for registration as a security-based swap dealer or major security-based swap participant by an entity that is registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant. The SEC’s forms index identifies SBSE-A as the relevant application form, and filed amendments appear in EDGAR as SBSE-A/A.

This form is typically filed when information in the original application becomes inaccurate or incomplete, and the applicant must update their registration record. That can include changes to principals, disclosures, schedules, or other information previously provided on the initial Form SBSE-A filing list.

Form SBSE-A/A helps the SEC maintain current registration information for security-based swap entities. It updates an existing application rather than creating a new registration or withdrawing one, and applicants may also need to review related filings.

Key elements typically found in SEC Form SBSE-A/A include:

• Name of the applicant and identifying information
• Description of amendments to the previously filed Form SBSE-A
• Updates to principals, ownership, control, or organizational information, as applicable
• Revised disclosure reporting information or schedules, if applicable
• Amended business or registration-related information, as applicable
• Execution, certifications, and supporting attachments, as required

SEC Form SBSE-A/A Filing Deadlines

SEC Form SBSE-A/A does not have a fixed annual or periodic filing deadline. It is filed on an event-driven basis when information in a previously submitted Form SBSE-A becomes inaccurate or incomplete, and the applicant must update that information promptly.

Key Things to Know About Form SBSE-A/A Filing Rules

• Amendments Are Ongoing: An applicant must promptly amend Form SBSE-A whenever information on file becomes inaccurate or incomplete for any reason.
• Electronic Filing Is Required: Form SBSE-A and amendments to it must be filed electronically with the SEC through EDGAR.
• Schedules and DRPs May Need Updates: Depending on the nature of the change, the applicant may need to revise schedules and disclosure reporting pages along with the amendment.
• Record Retention Still Applies: A paper copy with original signatures of the initial Form SBSE-A filing and amendments to disclosure reporting pages must be retained and made available upon regulatory request.
• It is an Amendment, Not an Initial Application: Form SBSE-A/A is used to update a previously filed Form SBSE-A, while the original application for this registration category is filed on Form SBSE-A.

SEC Form SBSE-A/A is an amendment filing used by entities to update a previously submitted Form SBSE-A application for registration as a security-based swap dealer or major security-based swap participant. It supports ongoing regulatory record maintenance, while analysts may compare registrants across the full list of SEC filers, explore broader context in the  Important SEC Filings, or review activity among new individual SEC filers.