Form SBSE-A security-based swap dealer registrations
Form SBSE-A: registration of security-based swap dealers and major participants that are registered or registering with the CFTC as swap dealers.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22SBSE-A%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"SBSE-A"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is SBSE-A?
Security-based swap dealers and major security-based swap participants register with the SEC under rules effective in 2021. Entities already registered or registering with the CFTC as swap dealers or major swap participants use the shorter Form SBSE-A.
Most large dealer banks use SBSE-A, and amendments far outnumber original filings.
Security-based swap dealers and major participants also registered with the CFTC.
Before acting as a security-based swap dealer; amendments when information changes.
Filings per year
Every SBSE-A filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicant | Legal entity, affiliates and principals. |
| CFTC registration | Swap dealer status with the CFTC. |
| Disciplinary history | Regulatory actions. |
Get SBSE-A data with SecFeed
Search the filings with formType:"SBSE-A", read any document as text or PDF, and use these APIs for structured data:
Latest SBSE-A filings
| Company | Form | Filed | |
|---|---|---|---|
| MORGAN STANLEY & CO INTERNATIONAL PLC | SBSE-A/A | 2026-10-08 | EDGAR ↗ |
| Citibank, N.A. | SBSE-A/A | 2026-09-24 | EDGAR ↗ |
| WELLS FARGO BANK N A | SBSE-A/A | 2026-09-23 | EDGAR ↗ |
| BofA Securities Europe SA | SBSE-A/A | 2026-09-23 | EDGAR ↗ |
| MERRILL LYNCH INTERNATIONAL | SBSE-A/A | 2026-09-21 | EDGAR ↗ |
| STANDARD CHARTERED BANK | SBSE-A/A | 2026-09-15 | EDGAR ↗ |
| NATIXIS | SBSE-A/A | 2026-09-08 | EDGAR ↗ |
| BofA Securities Europe SA | SBSE-A/A | 2026-08-28 | EDGAR ↗ |
Use cases
- Build the list of registered security-based swap dealers
Related forms
Form SBSE registrations of security-based swap dealers and major security-based swap participants since 2021, with amendments and withdrawals.
SBSE-BDSwap dealer registration (broker-dealers)Form SBSE-BD: registration of security-based swap dealers and major participants that are registered broker-dealers.
SBSE-CSwap dealer certificationForm SBSE-C: the senior officer certification that accompanies a security-based swap dealer or major participant registration.
FAQ
Who uses Form SBSE-A?
Security-based swap dealers and major participants that are registered or registering with the CFTC as swap dealers.
When did SBS dealer registration begin?
The registration compliance date was in late 2021.
Every SBSE-A filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.