Registration 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. Forms, Securities Exchange Act of 1934
  6. Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

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Section
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.

Section
249.1600a

Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.

Section
249.1600b

Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.

Section
249.1600c

Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.

Section
249.1601

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