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Form SDR-A Filings

SEC Form SDR-A is an annual amendment filing used by registered security-based swap data repositories to update their registration information with the Securities and Exchange Commission (SEC). It supports ongoing compliance under Section 13(n) of the Securities Exchange Act of 1934.

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What Is SEC Form SDR-A?

SEC Form SDR-A is an important filing required under Rule 13n-1(d) of the Securities Exchange Act of 1934. It is used by a registered security-based swap data repository to file its annual amendment to Form SDR and update its registration information with the SEC within 60 days after the end of its fiscal year.

Key elements typically found in SEC Form SDR-A include:

  • Name of the security-based swap data repository
  • Address of principal executive offices
  • Updated information required by Form SDR
  • Identification of items amended since the last annual amendment or original application
  • Updated exhibits and supporting documents
  • Authorized signature on behalf of the applicant

SEC Form SDR-A Filing Deadlines

SEC Form SDR-A has specific timing requirements that registered security-based swap data repositories must follow each year. These deadlines are crucial to ensure regulatory compliance and maintain current registration information on file with the SEC.

Filing Stage Timeline Details
Annual Amendment Requirement Within 60 days after the fiscal year end The registered security-based swap data repository must file its annual amendment on Form SDR
Form SDR-A Filing After the fiscal year end Filed electronically with the SEC
Scope of Annual Amendment At the time of filing Must include the complete form, all pages, answers to all items, and all exhibits
Identification of Changes At the time of filing Must indicate which items have been amended since the last annual amendment or, if none, since the original application

Key Things to Know About Form SDR-A Filing Rules

  • Annual Amendment Required: A registered security-based swap data repository must file Form SDR-A within 60 days after the end of each fiscal year.
  • Complete Form Must Be Filed: An annual amendment must include the complete form, together with all pages, answers to all items, and all exhibits.
  • Changes Must Be Identified: The filer must indicate which items have been amended since the last annual amendment or, if no annual amendment has yet been filed, since the original application.
  • Interim Amendments Are Separate: If certain required information becomes inaccurate outside the annual cycle, the security-based swap data repository must amend promptly, but that filing is made as an amendment other than an annual amendment.
  • Electronic Filing Applies: Form SDR filings and amendments are filed electronically with the SEC and are subject to Regulation S-T filing requirements.

To access related disclosure, our real-time EDGAR data helps to track Form SDR, Form SDR-A, and Form SDR-W for security-based swap data repository filings, covering initial registrations, information amendments, and withdrawal notices.

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