Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Forms, Securities Exchange Act of 1934
  6. Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
  7. Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.

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§ 249.1600 Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.

This form shall be used for application for registration as a security-based swap dealer or major security-based swap participant by firms that are not registered with the Commission as a broker or dealer and that are not registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant, pursuant to Section 15F(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78o-10(b)) and to amend such an application for registration.

Editorial Note

Editorial Note:

For Federal Register citations affecting Form SBSE, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.


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