Form SBSE-C security-based swap dealer certifications
Form SBSE-C: the senior officer certification that accompanies a security-based swap dealer or major participant registration.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22SBSE-C%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"SBSE-C"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is SBSE-C?
SEC rules require a senior officer of an applicant for security-based swap dealer or major participant registration to certify that the firm has the operational, financial and compliance capacity to act as one. The certification is filed on Form SBSE-C.
About 60 have been filed since 2021, one per registering entity.
Applicants for security-based swap dealer or major participant registration.
With the registration application.
Filings per year
Every SBSE-C filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Certifying officer | Name and title. |
| Certification | Statement of capacity and controls. |
| Associated persons | Certification regarding statutorily disqualified associated persons. |
Get SBSE-C data with SecFeed
Search the filings with formType:"SBSE-C", read any document as text or PDF, and use these APIs for structured data:
Latest SBSE-C filings
| Company | Form | Filed | |
|---|---|---|---|
| HIDDEN ROAD PARTNERS CIV US LLC | SBSE-C | 2026-09-10 | EDGAR ↗ |
| Jane Street Derivatives Dealer, LLC | SBSE-C | 2026-05-18 | EDGAR ↗ |
| CLEAR STREET LLC | SBSE-C | 2025-04-22 | EDGAR ↗ |
| Marex Securities Products Inc. | SBSE-C | 2024-12-27 | EDGAR ↗ |
| GIFMS Capital Company, LLC | SBSE-C | 2024-06-21 | EDGAR ↗ |
| BANCO BILBAO VIZCAYA ARGENTARIA, S.A. | SBSE-C | 2024-06-20 | EDGAR ↗ |
| Clear Street Derivatives LLC | SBSE-C | 2023-09-28 | EDGAR ↗ |
| CAPITOLIS LIQUID GLOBAL MARKETS LLC | SBSE-C | 2023-01-03 | EDGAR ↗ |
Use cases
- Confirm which entities completed registration
Related forms
Form SBSE registrations of security-based swap dealers and major security-based swap participants since 2021, with amendments and withdrawals.
SBSE-ASwap dealer registration (CFTC registered)Form SBSE-A: registration of security-based swap dealers and major participants that are registered or registering with the CFTC as swap dealers.
FAQ
What does Form SBSE-C certify?
That the applicant has the capacity and controls to operate as a security-based swap dealer or major participant.
Who signs it?
A senior officer of the applicant.
Every SBSE-C filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.