Form SBSEF: security-based swap execution facilities

Coverage

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=

Try it: the explorer opens with this form filled in.

• 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 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>

{
  "#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.

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].