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Form SDR-W Filings

SEC Form SDR-W is an important filing required under Rule 13n-2 of the Securities Exchange Act of 1934. It is used by a registered security-based swap data repository to officially notify the SEC of its withdrawal from registration as a security-based swap data repository.

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What Is SEC Form SDR-W?

Form SDR-W is typically filed when a registered repository no longer intends to remain registered. When filing a withdrawal, the applicant must update any amended items or exhibits since its last Form SDR filing and designate the person who has or will have custody or possession of its books and records.

Form SDR-W ensures transparency by formally notifying regulators that a previously registered security-based swap data repository is withdrawing from registration. It helps document where books and records will be maintained, and supports continued regulatory access to required records after withdrawal.

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

  • Name of the applicant and principal executive office address
  • SEC file number and applicant identification details
  • Statement that the filing is a withdrawal from registration
  • Name and address of the person who has or will have custody of books and records
  • Address where such books and records will be located, if different
  • Updated items or exhibits amended since the last Form SDR filing

SEC Form SDR-W Filing Deadlines

SEC Form SDR-W does not have a fixed periodic filing deadline. Instead, it is an event-driven filing used when a registered security-based swap data repository seeks to withdraw from registration and must be submitted as needed in connection with that withdrawal.

Filing Stage Timeline Details
Withdrawal Decision Not applicable The filing is triggered when a registered security-based swap data repository seeks to withdraw from registration
Form SDR-W Filing As needed Filed electronically with the SEC as the withdrawal submission type for Form SDR
Books and Records Custodian Information As needed The filing must provide the name and address of the person who has or will have custody or possession of books and records
Updated Information Requirement As needed The applicant must update any amended items or exhibits since its last Form SDR filing

Key Things to Know About Form SDR-W Filing Rules

  • Event-Driven Filing: Form SDR-W is not an annual or periodic report. It is filed only when a registered security-based swap data repository seeks to withdraw from registration.
  • Updated Information Is Required: When submitting a withdrawal, the applicant must update any items or exhibits that are being amended since their last Form SDR filing.
  • Books and Records Must Be Addressed: The filing must identify the person who has or will have custody or possession of the books and records maintained in connection with the applicant’s repository functions.
  • Unamended Information Remains In Effect: By submitting the withdrawal, the applicant represents that all unamended items and exhibits remain true, current, and complete as previously filed.
  • Regulatory Access Continues To Matter: The withdrawal process is designed to help preserve access to transaction data, position data, and related records after the repository ceases to operate as a registered SDR.

SEC Form SDR-W is a filing used by security-based swap data repositories to withdraw from SEC registration. Analysts may monitor financial disclosures such as results of Operations and financial condition, and financial statements and exhibits, review disclosure updates in the Securities Act, and conduct broader SEC filing analytics.

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