Federal (United States) · Regulations
Subpart Q — Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
5 sections
5 sections
- 17 C.F.R. § 249.1600Form 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.
- 17 C.F.R. § 249.1600aForm 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.
- 17 C.F.R. § 249.1600bForm 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.
- 17 C.F.R. § 249.1600cForm SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
- 17 C.F.R. § 249.1601Form 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.