PocketLaw | CFR 17 | Capital, Margin and Segregation Requirements for

Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants

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Section
240.18a-1

Net capital requirements for security-based swap dealers for which there is not a prudential regulator.

Section
240.18a-1a

Options.

Section
240.18a-1b

Adjustments to net worth for certain commodities transactions.

Section
240.18a-1c

Consolidated Computations of Net Capital for Certain Subsidiaries and Affiliates of Security-Based Swap Dealers.

Section
240.18a-1d

Satisfactory Subordinated Loan Agreements.

Section
240.18a-2

Capital requirements for major security-based swap participants for which there is not a prudential regulator.

Section
240.18a-3

Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.

Section
240.18a-4

Segregation requirements for security-based swap dealers and major security-based swap participants.

Section
240.18a-4a

Exhibit A - Formula for determination of security-based swap customer reserve requirements under § 240.18a-4.

Section
240.18a-5

Records to be made by certain security-based swap dealers and major security-based swap participants.

Section
240.18a-6

Records to be preserved by certain security-based swap dealers and major security-based swap participants.

Section
240.18a-7

Reports to be made by certain security-based swap dealers and major security-based swap participants.

Section
240.18a-8

Notification provisions for security-based swap dealers and major security-based swap participants.

Section
240.18a-9

Quarterly security counts to be made by certain security-based swap dealers.

Section
240.18a-10

Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities.