Form SBSE security-based swap dealer registrations
Form SBSE registrations of security-based swap dealers and major security-based swap participants since 2021, with amendments and withdrawals.
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?
Since October 2021, dealers in security-based swaps, such as single name credit default swaps and equity swaps, must register with the SEC. The form depends on the firm: SBSE for most entities, SBSE-A for firms already registered with the CFTC as swap dealers and SBSE-BD for registered broker-dealers.
SBSE-C carries the senior officer certifications, and SBSE-W withdraws a registration. The filings name the big banks and their affiliates that make markets in security-based swaps.
Security-based swap dealers and major security-based swap participants under Section 15F of the Exchange Act.
Before conducting business as a security-based swap dealer, with amendments when information changes.
Filings per year
Every SBSE filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Registrant | Legal name, LEI, address and type of registration. |
| Other registrations | CFTC swap dealer and broker-dealer status, foreign regulators. |
| Business | Types of security-based swaps traded. |
| Control persons and principals | Owners and associated persons. |
| Certifications (SBSE-C) | Senior officer certification of capacity to comply. |
Get SBSE 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 filings
| Company | Form | Filed | |
|---|---|---|---|
| HIDDEN ROAD PARTNERS CIV US LLC | SBSE-BD | 2026-09-10 | EDGAR ↗ |
| HIDDEN ROAD PARTNERS CIV US LLC | SBSE-C | 2026-09-10 | EDGAR ↗ |
| Jane Street Derivatives Dealer, LLC | SBSE/A | 2026-09-04 | EDGAR ↗ |
| Marex Securities Products Inc. | SBSE/A | 2026-07-29 | EDGAR ↗ |
| GIFMS Capital Company, LLC | SBSE/A | 2026-06-24 | EDGAR ↗ |
| Nearwater Capital Markets, Ltd | SBSE/A | 2026-06-03 | EDGAR ↗ |
| Jane Street Derivatives Dealer, LLC | SBSE | 2026-05-18 | EDGAR ↗ |
| Jane Street Derivatives Dealer, LLC | SBSE-C | 2026-05-18 | EDGAR ↗ |
Use cases
- List registered security-based swap dealers
- Research derivatives market participants
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FAQ
When did SBS dealer registration start?
The compliance date was October 6, 2021, and the first registrations were filed that month.
Every SBSE filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.