# Federal Register #2026-22346

SEC Request for Comments on Extending Rule 18a-5 Information Collection

**Buyer:** Securities and Exchange Commission
**Posted:** November 02, 2026
**Identifier:** 2026-22346

The Securities and Exchange Commission (SEC) is seeking public comments on extending its Rule 18a-5 information collection; this is not a procurement opportunity.
- **Government buyer:** Securities and Exchange Commission (SEC); no sub-agency or office is identified.
- **Request:** Comments on the existing information collection and its planned extension for Office of Management and Budget approval.
- **Affected entities and requirements:** Security-based swap dealers and major security-based swap participants must create and maintain trade, account, capital-calculation, and compliance records.
- **Estimated burden:** 12,340 industry-wide initial hours and 15,425 ongoing hours annually, plus recordkeeping-system costs.
- **Products, services, OEMs, and vendors:** None requested or identified.

### Description

The Securities and Exchange Commission is soliciting comments on its existing information collection under Rule 18a-5 and plans to submit it to the Office of Management and Budget for extension and approval. The rule establishes recordkeeping and reporting requirements for security-based swap dealers and major security-based swap participants, including various trade, account, capital, and compliance records. The notice estimates an industry-wide burden of 12,340 initial hours and 15,425 ongoing hours annually, as well as certain recordkeeping system costs. Written comments are requested by January 4, 2027.

[View original listing](https://www.federalregister.gov/documents/2026/11/02/2026-22346/agency-information-collection-activities-proposed-collection-comment-request-extension-rule-18a-5)