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Form SDR-CCO/A Filings

SEC Form SDR-CCO/A is a formal filing used by a security-based swap data repository to amend a previously filed annual compliance report and financial report submitted to the Securities and Exchange Commission.

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What Is SEC Form SDR-CCO/A?

SEC Form SDR-CCO/A 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 amend a previously submitted annual compliance report and financial report filed with the Securities and Exchange Commission (SEC).

This form is typically filed when a repository needs to correct, update, or supplement information contained in an earlier SDR-CCO submission. Once Form SDR-CCO/A is submitted, it updates the SEC record with amended annual compliance and financial information for the applicable reporting period.

Form SDR-CCO/A ensures transparency by formally notifying regulators that a previously filed annual compliance report or financial report has been revised. It helps document updated compliance disclosures, material changes, recommendations for changes, material compliance matters, and amended financial information, where applicable.

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

  • Name of the security-based swap data repository
  • Name of the chief compliance officer
  • Reporting period covered by the amendment
  • Description of the amended compliance or financial information
  • Date of the original SDR-CCO filing
  • Supporting exhibits or attachments, if applicable

SEC Form SDR-CCO/A Filing Deadlines

SEC Form SDR-CCO/A may be filed when a security-based swap data repository needs to amend a previously submitted annual compliance report or financial report. These timing references are important to maintain regulatory accuracy and keep the SEC filing record current.

Filing Stage Timeline Details
Original SDR-CCO Filing Within 60 days after the fiscal year end Annual compliance report and financial report are filed with the SEC
SDR-CCO/A Amendment Filing As needed Filed electronically with the SEC to correct or update previously submitted information
Amendment Effective Date Not applicable The amended submission becomes part of the SEC filing record upon filing
Annual Reporting Obligation Within 60 days after the fiscal year end The underlying SDR-CCO filing remains tied to the annual compliance reporting cycle

Key Things to Know About Form SDR-CCO/A Filing Rules

  • Original SDR-CCO Filing Comes First: A repository file Form SDR-CCO/A is only available after an SDR-CCO has already been submitted for the relevant reporting period.
  • Used to Correct or Update Prior Information: Form SDR-CCO/A is used when previously filed annual compliance or financial information needs to be revised, corrected, or supplemented.
  • Annual Compliance Content Still Matters: The amended filing may address policies and procedures, material changes, recommendations for changes, and material compliance matters identified by the chief compliance officer.
  • Financial Information May Also Be Revised: Form SDR-CCO/A can include amended financial report information submitted with the annual compliance report.
  • Filed to Maintain an Accurate SEC Record: The form helps keep the Commission’s record current when changes are needed after the original annual compliance filing has been made.

SEC Form SDR-CCO/A is an amendment filing used by security-based swap data repositories to update previously reported annual compliance and financial information, typically following an initial filing on Form SDR-CCO. Analysts may monitor financial disclosures, such as financial obligations disclosures, and conduct broader SEC filing analytics.

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