We are working on a comprehensive API. If you would like to know more, email [email protected].

Form SBSEF: security-based swap execution facilities

Registration of a security-based swap execution facility, its amendments and withdrawal.

25 filings with an XML document, 180 fields defined by the SEC, every one of them available as filed.

Coverage

Form typeFilings on EDGARWith an XML documentFirst XML filingLatest
SBSEF992024-07-262024-10-01
SBSEF/A15152024-08-122025-01-28
SBSEF-W112024-10-082024-10-08

Counted from our copy of EDGAR on 2026-10-14. Filings before a form's XML start date were filed as text or HTML and are available as documents, not as fields.

API

Every filing of this form for a company or a person, newest first, in one call. Pass any CIK on the filing (the issuer, or a reporting person or filer); amendments are included unless amendments=false.

GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=SBSEF&format=json
GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=SBSEF&format=xml
    &from=YYYY-MM-DD &to=YYYY-MM-DD &amendments=false &compact=true &limit= &cursor=
  • format=json: every element as SEC names it, values exactly as filed, including fields the SEC's own viewer does not show.
  • format=xml: the document as filed, with its SHA-256, for clients that parse XML themselves.
  • Each row carries the accession number, form, filing date, schema version and links to the filing on sec.gov.

Lossless JSON

The JSON is not a selection of fields. It is the whole document, converted so it can be turned back into the original XML with nothing lost: every element, every attribute, every value and the order they came in. We check that for every document we store; one that does not rebuild exactly is not stored.

  • An element with only text is a string; one with children is an object keyed by SEC's element name; a name that repeats becomes an array.
  • Attributes are @name keys (@xsi:nil included); text next to child elements is #text.
  • Order is kept in #order: the child element names in document order. JSON objects have no order, and some forms depend on it (a Form 4's Table I lists transactions and holdings “in any order”). compact=true drops it when you do not need the XML back.
  • Older schema versions are kept as filed: a 2004 Form 4 has the fields the 2004 schema had.

A Python function that rebuilds the XML from our JSON: sec_json_to_xml.py.

Example

SEC's own sample from the technical specification (fictitious data). The JSON below is what the API returns for it, produced by the same code that stores every filing.

XML as filed: SBSEF_V_sample.xml

<?xml version="1.0" ?><edgarSubmission xmlns="http://www.sec.gov/edgar/sbsefwvfiler">
  <headerData>
    <submissionType>SBSEF-V</submissionType>
    <filerInfo>
      <filer>
        <filerCredentials>
          <cik>9999999999</cik>
          <ccc>test#1</ccc>
        </filerCredentials>
      </filer>
      <liveTestFlag>LIVE</liveTestFlag>
      <contact>
        <contactName>John Doe</contactName>
        <contactPhoneNumber>555-555-5555</contactPhoneNumber>
        <contactEmailAddress>[email protected]</contactEmailAddress>
      </contact>
      <flags>
        <overrideInternetFlag>false</overrideInternetFlag>
      </flags>
    </filerInfo>
  </headerData>
  <formData>
    <effectiveDateInfo>
      <effectiveDate>05/24/2025</effectiveDate>
    </effectiveDateInfo>
    <signatureInfo>
      <signatureDate>05/01/2024</signatureDate>
      <signatureApplicantName>John  Doe</signatureApplicantName>
      <signatureAuthorizedPerson>John Doe</signatureAuthorizedPerson>
      <signatureTitle>Manager</signatureTitle>
    </signatureInfo>
  </formData>
</edgarSubmission>

JSON from the API (format=json)

{
  "#order": [
    "headerData",
    "formData"
  ],
  "formData": {
    "#order": [
      "effectiveDateInfo",
      "signatureInfo"
    ],
    "effectiveDateInfo": {
      "effectiveDate": "05/24/2025"
    },
    "signatureInfo": {
      "#order": [
        "signatureDate",
        "signatureApplicantName",
        "signatureAuthorizedPerson",
        "signatureTitle"
      ],
      "signatureApplicantName": "John  Doe",
      "signatureAuthorizedPerson": "John Doe",
      "signatureDate": "05/01/2024",
      "signatureTitle": "Manager"
    }
  },
  "headerData": {
    "#order": [
      "submissionType",
      "filerInfo"
    ],
    "filerInfo": {
      "#order": [
        "filer",
        "liveTestFlag",
        "contact",
        "flags"
      ],
      "contact": {
        "#order": [
          "contactName",
          "contactPhoneNumber",
          "contactEmailAddress"
        ],
        "contactEmailAddress": "[email protected]",
        "contactName": "John Doe",
        "contactPhoneNumber": "555-555-5555"
      },
      "filer": {
        "filerCredentials": {
          "#order": [
            "cik",
            "ccc"
          ],
          "ccc": "test#1",
          "cik": "9999999999"
        }
      },
      "flags": {
        "overrideInternetFlag": "false"
      },
      "liveTestFlag": "LIVE"
    },
    "submissionType": "SBSEF-V"
  }
}

Every field

Every element and attribute in the SEC's schema for this form, in schema order, indented by depth. Names are the SEC's and are the keys in the JSON.

edgarSubmission (eis_SBSEFWandV_Filer.xsd, 26 fields)
Field (path)TypeOccursAllowed valuesSEC's description
edgarSubmission(group)1..1
schemaVersionSCHEMA_VERSION_TYPE0..1length=5
headerData(group: HEADER_DATA)1..1These elements are part of the HEADER_DATA_TYPE group
submissionTypeSUBMISSION_TYPE1..1one of: SBSEF-W, SBSEF-V
filerInfo(group: FILER_INFO_TYPE)1..1These elements are part of the FILER_INFO_TYPE group
filer(group: FILER_TYPE)1..1These elements are part of the FILER_TYPE group
filerCredentials(group: FILER_CREDENTIALS_TYPE)1..1These elements are part of the FILER_CREDENTIALS_TYPE group
cikCIK_TYPE1..1pattern=\d{1,10}
cccCCC_TYPE1..1length=8
liveTestFlagLIVE_TEST_TYPE1..1one of: LIVE, TEST
contact(group: CONTACT_TYPE)1..1These elements are part of the CONTACT_TYPE group
contactNameENTITY_NAME_TYPE1..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
contactPhoneNumberEDGAR_PHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\s#(),.\-]{1,20}
contactEmailAddressINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
flags(group: FLAGS_TYPE)0..1These elements are part of the FLAGS_TYPE group
overrideInternetFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
notifications(group: NOTIFICATIONS_TYPE)0..1These elements are part of the NOTIFICATIONS_TYPE group
notificationEmailAddressINTERNET_ADDRESS_TYPE0..3maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
formData(group: FORM_DATA)1..1These elements are part of the FORM_DATA_TYPE group
effectiveDateInfo(group: EFFECTIVE_INFO_TYPE)0..1These elements are part of the EFFECTIVE_INFO_TYPE group
effectiveDateDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
signatureInfo(group: SIGNATURE_INFO_TYPE)1..1These elements are part of the SIGNATURE_INFO_TYPE group
signatureDateDATE_TYPE21..1pattern=\d{1,2}/\d{1,2}/\d{4}
signatureApplicantNameSTRING_150_TYPE1..1minLength=1; maxLength=150
signatureAuthorizedPersonSTRING_255_TYPE1..1maxLength=255
signatureTitleSTRING_255_TYPE1..1maxLength=255
edgarSubmission (eis_SBSEF_Filer.xsd, 154 fields)
Field (path)TypeOccursAllowed valuesSEC's description
edgarSubmission(group)1..1
schemaVersionSCHEMA_VERSION_TYPE0..1length=5
headerData(group: HEADER_DATA)1..1These elements are part of the HEADER_DATA_TYPE group
submissionTypeSUBMISSION_TYPE1..1one of: SBSEF, SBSEF/A
filerInfo(group: FILER_INFO_TYPE)1..1These elements are part of the FILER_INFO_TYPE group
filer(group: FILER_TYPE)1..1These elements are part of the FILER_TYPE group
filerCredentials(group: FILER_CREDENTIALS_TYPE)1..1These elements are part of the FILER_CREDENTIALS_TYPE group
cikCIK_TYPE1..1pattern=\d{1,10}
cccCCC_TYPE1..1length=8
flags(group: FLAGS_TYPE)0..1These elements are part of the FLAGS_TYPE group
overrideInternetFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
contact(group: CONTACT_TYPE)0..1These elements are part of the CONTACT_TYPE group
contactNameENTITY_NAME_TYPE1..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
contactPhoneNumberEDGAR_PHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\s#(),.\-]{1,20}
contactEmailAddressINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
notifications(group: NOTIFICATIONS_TYPE)0..1These elements are part of the NOTIFICATIONS_TYPE group
notificationEmailAddressINTERNET_ADDRESS_TYPE0..3maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
liveTestFlagLIVE_TEST_TYPE1..1one of: LIVE, TEST
formData(group: FORM_DATA)0..1These elements are part of the FORM_DATA_TYPE group
principalInfo(group: PRINCIPAL_INFO_TYPE)0..1These elements are part of the PRINCIPAL_INFO_TYPE group principalConfFlag will determine if the variables in this type will be confidential
applicantNameSTRING_150_TYPE0..1minLength=1; maxLength=150
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
amendedItemsListSTRING_256_TYPE0..1minLength=1; maxLength=256
principalConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
generalInfo(group: GENERAL_INFO_TYPE)0..1These elements are part of the GENERAL_INFO_TYPE group
businessInfo(group: BUSINESS_INFO_TYPE)0..1These elements are part of the BUSINESS_INFO_TYPE group
businessName(group: BUSINESS_NAME_TYPE)0..1These elements are part of the BUSINESS_NAME_TYPE group. nameOnBusinessConfFlag will determine if the variables in this type will be confidential
nameOnBusinessSTRING_150_TYPE0..1minLength=1; maxLength=150
nameOnBusinessConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
previousBusinessName(group: PREVIOUS_BUSINESS_NAME_TYPE)0..1These elements are part of the PREVIOUS_BUSINESS_NAME_TYPE group previousBusinessNameConfFlag will determine if the variables in this type will be confidential
previousBusinessNameSTRING_150_TYPE0..1minLength=1; maxLength=150
previousBusinessNameConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
contactInfo(group: CONTACT_INFO_GENERAL_INFO_TYPE)0..1These elements are part of the CONTACT_INFO_GENERAL_INFO_TYPE group
mailingAddress(group: MAILING_ADDRESS_TYPE)0..1These elements are part of the MAILING_ADDRESS_TYPE group
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phonePHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
webAddressWEBSITE_URL_TYPE0..1minLength=1; maxLength=150
emailAddressINTERNET_ADDRESS_TYPE0..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
contactInfoConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
officeInfo(group: OFFICE_INFO_TYPE)0..1These elements are part of the OFFICE_INFO_TYPE group officeConfFlag will determine if the variables in this type will be confidential
office(group: OFFICE_TYPE)0..15These elements are part of the OFFICE_TYPE group
officeNameSTRING_150_TYPE0..1minLength=1; maxLength=150
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
officeConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
successor(group: SUCCESSOR_TYPE)0..1These elements are part of the SUCCESSOR_TYPE group generalInfoSuccessorConfidentialFlag will determine if the variables in this type will be confidential
generalInfoSuccessorNotApplicableFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
successionDateDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
predecessorNameSTRING_150_TYPE0..1minLength=1; maxLength=150
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
businessPhonePHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
webAddressWEBSITE_URL_TYPE0..1minLength=1; maxLength=150
generalInfoSuccessorConfidentialFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
applicantCategory(group: APPLICANT_CATEGORY_TYPE)0..1These elements are part of the APPLICANT_CATEGORY_TYPE group applicantTypeConfFlag will determine if the variables in this type will be confidential
applicantTypeAPPLICANT_TYPE0..1one of: Corporation, Partnership, Limited Liability Company, Other Form of Organization
applicantTypeOtherDescSTRING_256_0_TYPE0..1minLength=0; maxLength=256
applicantTypeConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
businessOrgInfo(group: BUSINESS_ORG_INFO_TYPE)0..1These elements are part of the BUSINESS_ORG_INFO_TYPE group dateOfIncorporationOrFormationConfFlag and stateOfIncorporationOrJurisdictionOfOrganizationConfFlag will determine if the variables in this type will be confidential
dateOfIncorporationOrFormationDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
stateOfIncorporationOrJurisdictionOfOrganizationSTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
dateOfIncorporationOrFormationConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
stateOfIncorporationOrJurisdictionOfOrganizationConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
consentName(group: CONSENT_NAME_TYPE)0..1These elements are part of the CONSENT_NAME_TYPE group consentNameConfFlag will determine if the variables in this type will be confidential
personNameOrOfficerTitleSTRING_150_TYPE0..1minLength=1; maxLength=150
applicantNameOrApplcblEntitySTRING_150_TYPE0..1minLength=1; maxLength=150
consentNameConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
consentAddress(group: CONSENT_ADDRESS_TYPE)0..1These elements are part of the CONSENT_ADDRESS_TYPE group consentAddressConfFlag will determine if the variables in this type will be confidential
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
consentAddressConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
signatureInfo(group: SIGNATURE_INFO_TYPE)0..1These elements are part of the SIGNATURE_INFO_TYPE group signatureConfFlag will determine if the variables in this type will be confidential
signatureDateDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
signatureApplicantNameSTRING_150_TYPE0..1minLength=1; maxLength=150
signatureAuthorizedPersonSTRING_255_TYPE0..1maxLength=255
signatureTitleSTRING_255_TYPE0..1maxLength=255
signatureConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
exhibitA(group: EXHIBIT_A_TYPE)0..1This is the root element for an sbsef exhibit A.
exhibitAInfo(group: EXHIBIT_A_INFO)0..50These elements part of the repeatable EXHIBIT_A_INFO group ownershipNameConfFlag percentageOwnershipConfFlag addressConfFlag agreementDescriptionConfFlag will determine if the variables in this type will be confidential
ownershipNameSTRING_150_TYPE1..1minLength=1; maxLength=150
percentageOwnershipDECIMAL_TYPE1_4_FIXED0..1totalDigits=5; fractionDigits=4; pattern=[01]?\.\d{4}
address(group: BUSINESS_ADDRESS_TYPE)1..1These elements are part of the BUSINESS_ADDRESS_TYPE group businessAddressConfFlag will determine if the variables in this type will be confidential
street1STREET_TYPE0..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE0..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE0..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE0..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
businessAddressConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
agreementDescriptionSTRING_10K_TYPE0..1minLength=1; maxLength=10000
ownershipNameConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
percentageOwnershipConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
addressConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
agreementDescriptionConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
questionApplicableFlagTRUE_FALSE_TYPE1..1pattern=true; pattern=false
exhibitB(group: EXHIBIT_B_TYPE)0..1This is the root element for an sbsef exhibit B.
exhibitBInfo(group: EXHIBIT_B_INFO)1..50These elements are part of the EXHIBIT_B_INFO nameTitleConfFlag dateConfFlag positionLengthConfFlag businessAccountExperienceConfFlag businessAffiliatesConfFlag directorCommitteesConfFlag disciplinaryActionConfFlag will determine if the variables in this type will be confidential
nameSTRING_150_TYPE0..1minLength=1; maxLength=150
titleSTRING_150_TYPE0..1minLength=1; maxLength=150
nameTitleConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
commencementDateDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
terminationDateDATE_TYPE20..1pattern=\d{1,2}/\d{1,2}/\d{4}
dateConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
positionLengthSTRING_150_TYPE0..1minLength=1; maxLength=150
positionLengthConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
businessAccountExperienceSTRING_10K_TYPE0..1minLength=1; maxLength=10000
businessAccountExperienceConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
businessAffiliatesSTRING_10K_TYPE0..1minLength=1; maxLength=10000
businessAffiliatesConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
directorCommitteesSTRING_10K_TYPE0..1minLength=1; maxLength=10000
directorCommitteesConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
hasDisciplinaryActionYES_NO_TYPE0..1one of: Y, N
disciplinaryActionReasonSTRING_10K_0_TYPE0..1minLength=0; maxLength=10000
disciplinaryActionConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
exhibitG(group: EXHIBIT_G_TYPE)0..1This is the root element for sbsef exhibit G.
exhibitGInfo(group: EXHIBIT_G_INFO_TYPE)0..50These elements are part of the EXHIBIT_G_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential
additionalInformationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
additionalInformationConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
exhibitM(group: EXHIBIT_M_INFO_TYPE)0..1These elements are part of the EXHIBIT_M_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential
additionalInformationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
additionalInformationConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
exhibitN(group: EXHIBIT_N_TYPE)0..1This is the root element for sbsef exhibit N.
exhibitNInfo(group: EXHIBIT_N_INFO_TYPE)0..50These elements are part of the EXHIBIT_N_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential
additionalInformationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
additionalInformationConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
exhibitT(group: EXHIBIT_T_TYPE)0..1This is the root element for an sbsef exhibit T.
exhibitTInfo(group: EXHIBIT_T_INFO)0..50These elements are part of the EXHIBIT_T_INFO
clearingAgencyNameSTRING_150_TYPE0..1minLength=1; maxLength=150
nameConfFlagTRUE_FALSE_TYPE0..1pattern=true; pattern=false
isGuaranteeingTradesTRUE_FALSE_TYPE0..1pattern=true; pattern=false
documents(group: CONFIDENTIAL_DOCUMENTS_TYPE)0..1
document(group: CONFIDENTIAL_DOCUMENT_TYPE)0..nDocument names must be lower case and no longer than thirty-two (32) characters in length. The names must start with a letter (a-z) and may contain numbers (0-9) with no spaces. Document names may contain one period (.), one hyphen (-), and one underscore (_) character and must end with *.htm, *.txt, *.pdf, *.fil, *.jpg, *.gif, *.xml or *.xsd extensions.
conformedNameDOCUMENT_NAME_TYPE0..1minLength=1; maxLength=32; pattern=([a-zA-Z0-9]+[\w\._\-]*)([\.](([hH][tT][mM])|([tT][xX][tT])|([pP][dD][fF])|([xX][mM][lL])|([jJ][pP][gG])|([gG][iI][fF])|([fF][iI][lL])|([xX][sS][dD])))
conformedDocumentTypeSUB_DOCUMENT_TYPE0..1SUBMISSION_TYPE (one of 445 codes (10-12B, 10-12B/A, 10-12G, 10-12G/A, 10-D, …; full list in the XSD)) or DOCUMENT_TYPE (BASE_DOCUMENT_TYPE (one of 398 codes (CORRESP, COVER, EU-1, EX-1, EX-1.01, …; full list in the XSD)) or OPEN_DOCUMENT_TYPE (minLength=4; maxLength=128))
descriptionDOCUMENT_DESCRIPTION_TYPE0..1maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255}
contentsDOCUMENT_MIME_BLOCK_TYPE0..1minLength=1
confidentialityTRUE_FALSE_TYPE0..1pattern=true; pattern=false

Field list generated from the SEC's EDGAR XML technical specification (Version 1.1 (March 2025)): https://www.sec.gov/files/edgar/filer-information/specifications/sbsef-tech-spec-1.zip. “Occurs” is min..max (n = unbounded). Nothing on this page is investment advice.

Questions about this form's data, or need something it does not cover? Email [email protected].