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Form SDR/A Filings

SEC Form SDR/A is a formal filing used by applicants to amend a previously filed registration application as a security-based swap data repository and update information that has become inaccurate since the last filing.

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What Is SEC Form SDR/A?

SEC Form SDR/A is an important filing used under the Securities Exchange Act of 1934 by an applicant to amend a previously filed Form SDR registration application as a security-based swap data repository. It is filed when information in the prior application becomes inaccurate and must be updated with the Securities and Exchange Commission (SEC).

This form is typically filed when a security-based swap data repository applicant needs to revise non-annual information previously reported in its registration application. Once Form SDR/A is submitted, it updates the applicant’s existing registration record and provides corrected or revised information required by the SEC.

Form SDR/A ensures transparency by formally notifying regulators of material updates to a repository’s registration information. It helps the SEC evaluate whether the applicant’s registration materials remain accurate and complete.

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

  • Name of the applicant filing the amendment
  • Identification of the prior Form SDR registration application
  • Updated information for items that have become inaccurate since the last filing
  • Amendments to required exhibits or supporting documentation
  • Representations regarding the continued accuracy of unamended information
  • Electronic submission of the amended application through EDGAR

SEC Form SDR/A Filing Deadlines

SEC Form SDR/A does not have a fixed annual filing deadline. It is an event-driven amendment that must be filed when information in a previously filed Form SDR becomes inaccurate and needs to be updated.

Filing Stage Timeline Details
Triggering Event As needed The amendment is used when previously filed registration information becomes inaccurate
Form SDR/A Filing As needed Filed electronically with the SEC as an amendment to a prior Form SDR
Fixed Deadline Not applicable There is no set calendar-based filing deadline for Form SDR/A
Annual Update Requirement Not applicable Annual amendments are handled separately from interim amendments on Form SDR/A

Key Things to Know About Form SDR/A Filing Rules

  • Used for Interim Amendments: Form SDR/A is used for non-annual amendments to a previously filed registration application when specified information becomes inaccurate.
  • Accuracy of Prior Filing Matters: Applicants must update information that has changed and represent that the relevant unamended information remains accurate.
  • Filed Electronically: The amendment is submitted through EDGAR as part of the SEC’s filing system for security-based swap data repository applications.
  • Separate From Annual Amendments: Form SDR/A is used for interim changes, while annual amendment requirements are addressed separately.
  • Application-Based Filing: Form SDR/A is tied to the registration status of a security-based swap data repository applicant and is filed as needed based on changes in reported information.

SEC filings, such as Form SDR and Form SDR/A, can be retrieved through the company filings API. For a step-by-step walkthrough, see the process of using the EDGAR API to Access SEC Filing Data.

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