Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Registration and Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants

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Section
240.15Fb1-1

Signatures.

Section
240.15Fb2-1

Registration of security-based swap dealers and major security-based swap participants.

Section
240.15Fb2-3

Amendments to Form SBSE, Form SBSE-A, and Form SBSE-BD.

Section
240.15Fb2-4

Nonresident security-based swap dealers and major security-based swap participants.

Section
240.15Fb2-5

Registration of successor to registered security-based swap dealer or a major security-based swap participant.

Section
240.15Fb2-6

Registration of fiduciaries.

Section
240.15Fb3-1

Duration of registration.

Section
240.15Fb3-2

Withdrawal from registration.

Section
240.15Fb3-3

Cancellation and revocation of registration.

Section
240.15Fb6-1

§ 240.15Fb6-1 [Reserved]

Section
240.15Fb6-2

Associated person certification.

Section
240.15Fh-1

Scope and reliance on representations.

Section
240.15Fh-2

Definitions.

Section
240.15Fh-3

Business conduct requirements.

Section
240.15Fh-4

Antifraud provisions for security-based swap dealers and major security-based swap participants; special requirements for security-based swap dealers acting as advisors to special entities.

Section
240.15Fh-5

Special requirements for security-based swap dealers and major security-based swap participants acting as counterparties to special entities.

Section
240.15Fh-6

Political contributions by certain security-based swap dealers.

Section
240.15Fi-1

Definitions.

Section
240.15Fi-2

Acknowledgment and verification of security-based swap transactions.

Section
240.15Fi-3

Security-based swap portfolio reconciliation.

Section
240.15Fi-4

Security-based swap portfolio compression.

Section
240.15Fi-5

Security-based swap trading relationship documentation.

Section
240.15Fk-1

Designation of chief compliance officer for security-based swap dealers and major security-based swap participants.

Section
240.15Ga-1

Repurchases and replacements relating to asset-backed securities.

Section
240.15Ga-2

Findings and conclusions of third-party due diligence reports.

Section
240.16a-1

Definition of terms.

Section
240.16a-2

Persons and transactions subject to section 16.

Section
240.16a-3

Reporting transactions and holdings.

Section
240.16a-4

Derivative securities.

Section
240.16a-5

Odd-lot dealers.

Section
240.16a-6

Small acquisitions.

Section
240.16a-7

Transactions effected in connection with a distribution.

Section
240.16a-8

Trusts.

Section
240.16a-9

Stock splits, stock dividends, and pro rata rights.

Section
240.16a-10

Exemptions under section 16(a).

Section
240.16a-11

Dividend or interest reinvestment plans.

Section
240.16a-12

Domestic relations orders.

Section
240.16a-13

Change in form of beneficial ownership.