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Form SDR-CCO Filings

SEC Form SDR-CCO is a formal filing used by a security-based swap data repository to submit its annual compliance report and accompanying financial report to the Securities and Exchange Commission.

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What Is SEC Form SDR-CCO?

SEC Form SDR-CCO is an important filing required under Rule 13n-11 of the Securities Exchange Act of 1934. It is used by a security-based swap data repository to officially file its annual compliance report and financial report with the Securities and Exchange Commission (SEC).

This form is typically filed after the end of the repository’s fiscal year as part of its annual compliance reporting obligations. Once Form SDR-CCO is submitted, it provides the SEC with a signed compliance report prepared by the chief compliance officer and a financial report that accompanies that filing. It may also be reviewed alongside broader annual report filing activity for regulatory research.

Form SDR-CCO ensures transparency by formally notifying regulators of the security-based swap data repository’s annual compliance review and financial condition. It helps document the repository’s enforcement of policies and procedures, material changes, recommendations for changes, and material compliance matters.

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

  • Name of the security-based swap data repository
  • Annual compliance report signed by the chief compliance officer
  • Description of the enforcement of policies and procedures
  • Description of material changes and recommended changes to policies and procedures
  • Disclosure of material compliance matters identified since the preceding compliance report
  • Accompanying financial report for the security-based swap data repository

SEC Form SDR-CCO Filing Deadlines

SEC Form SDR-CCO has specific timing requirements that security-based swap data repositories must follow after the end of the fiscal year covered by the reports. These deadlines are crucial to ensure regulatory compliance and provide proper notice to the SEC.

Filing Stage Timeline Details
Fiscal Year End End of reporting period The annual compliance report and financial report relate to the fiscal year covered by the filing
Board Review Before filing The chief compliance officer must submit the annual compliance report to the board for review before filing with the SEC
Form SDR-CCO Filing Within 60 days after the fiscal year end Filed with the SEC as the annual compliance report and financial report
Amendment Filing As needed Form SDR-CCO/A is used to amend the compliance report and financial report

Key Things to Know About Form SDR-CCO Filing Rules

  • Annual Filing Requirement: A security-based swap data repository must file Form SDR-CCO each year to provide its annual compliance report and accompanying financial report.
  • Board Review Comes First: The chief compliance officer must submit the annual compliance report to the board for its review before the report is filed with the SEC.
  • Financial Report Must Accompany the Compliance Report: The financial report is filed together with the compliance report and must meet the requirements set out in Rule 13n-11, including audited financial statements and interactive data requirements.
  • Electronic Filing Applies: Form SDR-CCO is filed electronically through EDGAR, and the EDGAR Filer Manual identifies SDR-CCO as the submission type for the annual compliance report and financial report.
  • Amendments Use a Separate Submission Type: If changes are needed after filing, the amendment is made using Form SDR-CCO/A.

SEC Form SDR-CCO is an annual filing used by security-based swap data repositories to report compliance activities and financial condition. Analysts may often review compliance trends among SEC Delinquent Filers explore ecosystem participants like new SEC Filing agents.

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